Securities Examiner Senior

State of Nebraska•Lincoln, NE

12d•$30

About The Position

Don't scroll past this amazing opportunity to work for a great team! The Nebraska Department of Banking and Finance (NDBF) - Bureau of Securities is seeking an analytical and stellar communicator to fill a Securities Examiner Senior role in the agency. Become part of teams where you have the chance to impact the citizens and securities industry of the great State of Nebraska by protecting consumers through fair and common-sense supervision. NDBF provides an opportunity for you to make a positive difference through our important and meaningful work. For more information about NDBF, please visit our website at ndbf.nebraska.gov. This position can be underfilled as a Securities Examiner, with the potential of becoming a Securities Examiner Senior. Must complete required minimum qualifications for a Securities Examiner Senior within the first year of employment. Should these requirements not be met, work status and requirements will be assessed at that time. Starting pay for Securities Examiner is $23.802 per hour. Securities Examiner Senior starting pay is $29.571 per hour. Look at what we have to offer! • 13 paid holidays • Vacation and sick leave that begin accruing immediately • Military leave • 156% (that's not a typo!) state-matched retirement • Tuition reimbursement • Employee assistance program • 79% employer paid health insurance plans • Dental and vision insurance plans • Employer-paid $20,000 life insurance policy • Public Service Loan Forgiveness Program (PSLF) through the Federal government • Wide variety and availability of career advancement as the largest and most diverse employer in the State • Opportunity to be part of meaningful work and make a difference through public service • Training and Development based on your career aspirations • Fun, inviting teammates • A safe and secure environment At the State, we stand by our core values of treating others with dignity and respect, acting ethically in all situations, and creating an environment where our customer is our top priority. Apply to join our team today!

Requirements

Bachelor’s Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting.
At least one year of examination, audit, compliance, or investigative experience.
Valid driver's license and evidence of vehicle insurance, or the ability to provide independent authorized transportation.
Must be willing and able to travel overnight approximately 5% of the time.
Ability to lift up to 25 pounds.
Completion of fingerprinting.
Knowledge of: the commercial law and general economic conditions; overall management and operations of the institutions examined; systems, procedures, and policies of management; administration of an examination, to include procedures, methods and reporting requirements.
Ability to: accurately analyze financial and non-financial information and come to logical conclusions; interpret applicable state and federal laws, rules, regulations, policies, and industry guidelines; conduct exit interviews with management; read and understand charters and bylaws; determine compliance with laws, rules and regulations; evaluate overall operations including corporate structure, systems and procedures, policies of management, management effectiveness and various legal and technical problems as revealed by the examination; train, supervise and evaluate subordinate staff; present comments, opinions and factual information clearly and concisely; determine potential risks; and plan/organize time and resources in an effective manner.
Knowledge of: the industry, applicable state and federal laws, rules, regulations, and policies; industry guidelines; theory and practice of higher accounting, examining and industry principles; commercial law and general economic conditions; overall management and operations of the institutions examined; systems, procedures, and policies of management.
Ability to: examine expense vouchers and disbursements; prepare trial balances; check internal controls; verify assets and liabilities; deal effectively with others including co-workers and industry officers and staff; communicate effectively, both orally and in writing; accurately analyze financial and non-financial information and come to logical conclusions; interpret applicable state and federal laws, rules, regulations, policies and industry guidelines; conduct exit interviews with management.

Nice To Haves

Securities background preferred.
Law degree or advanced degree in business, finance, or accounting is preferred but not required.

Responsibilities

Performs routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska.
Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules.
Conducts exit interviews with directors, management, and/or compliance personnel and provides specific written reports and verbal recommendations.
Prepares written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance.
Makes recommendations about and participates in related enforcement action, including representing the Department as subject matter or evidentiary witness, if necessary.
Conducts "for cause" exams of investment advisers and broker-dealers in response to consumer allegations of fraud, conversion of assets, theft, and sales practice violations.
Assists Deputy Director-Securities Bureau in establishing examination policies and procedures, assessing firm risk, setting exam schedules, identifying industry trends and issues, and other duties as assigned.
Occasional travel is required, including some overnight travel.
Participates in the routine examinations of small to mid-sized investment advisers and broker-dealers registered with the State of Nebraska.
Other duties as assigned.

Benefits

13 paid holidays
Vacation and sick leave that begin accruing immediately
Military leave
156% (that's not a typo!) state-matched retirement
Tuition reimbursement
Employee assistance program
79% employer paid health insurance plans
Dental and vision insurance plans
Employer-paid $20,000 life insurance policy
Public Service Loan Forgiveness Program (PSLF) through the Federal government
Wide variety and availability of career advancement as the largest and most diverse employer in the State
Opportunity to be part of meaningful work and make a difference through public service
Training and Development based on your career aspirations
Fun, inviting teammates
A safe and secure environment