Senior Securities Examiner

State of Maine • Gardiner, ME

6d • Hybrid

About The Position

Protect Maine investors and help financial firms and professionals serve their clients ethically and in compliance with applicable laws and regulations. The Senior Securities Examiner position with the Maine Office of Securities conducts examinations of and reviews licensing applications from investment advisers, broker-dealers and their representatives. If you are a detail-oriented team player with strong communication skills, join our team to help prevent fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets. The Office is an agency within the Department of Professional and Financial Regulation. We offer a collaborative and supportive workplace with excellent training opportunities, benefits and work/life balance. A hybrid work schedule is available after the initial training period.

Requirements

• Knowledge of State and federal securities laws and regulations.
• Proficiency in Microsoft Suite including Excel and Word, cloud-based collaboration platforms, and financial analysis software.
• Financial examination or securities industry experience.
• Analyzing financial records and data.
• Writing clear, effective and precise reports.
• Managing multiple tasks and priorities.
• Effective communication with colleagues, regulated firms and professionals, and the public at large.
• A six (6) year combination of education, training, and/or experience in the securities or other financial services industry, securities or other financial services regulation, finance, law, accounting, or auditing.

Nice To Haves

• Financial services or financial regulatory experience
• A law degree
• A background conducting examinations or investigations

Responsibilities

• Conducting field and desk examinations of broker-dealers and investment advisers – including review of books and records, internal controls, client files, and correspondence – to ensure compliance with state law, rules and regulations.
• Preparing examination reports with findings, recommendations, supporting data, and financial analysis.
• Testifying at hearings to explain examination findings.
• Reviewing license applications for investment advisers, broker-dealers and representatives.
• Providing guidance and feedback to securities firms and professionals.
• Recommending changes to laws, rules, and policies that protect investors and respond to industry trends.
• Assisting investigative staff as needed to respond to investor complaints.

Benefits

• 13 paid holidays
• 12 days of sick leave
• 3+ weeks of vacation leave annually
• Health Insurance Coverage (State pays 85%-100% of employee-only premiums)
• Health Insurance Premium Credit (Participation decreases employee-only premiums by 5%)
• Dental Insurance (State pays 100% of employee-only dental premiums)
• Retirement Plan (State contributes 14.06% of employee's pay towards MainePERS)
• Six weeks of fully paid parental leave
• Additional, unpaid leave may also be available, under the Family and Medical Leave Act

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed