Senior Securities Specialist (Investigator)

State of Maine • Gardiner, ME

10d • $56,867 - $79,747 • Hybrid

About The Position

The Maine Office of Securities, an agency within the Department of Professional and Financial Regulation, is seeking a detail-oriented team player with strong communication skills to help protect Mainers from scams and other deceptive and unethical financial practices. The office offers 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, and investigative policies and procedures.
• Proficiency in Microsoft Word and Excel, cloud-based collaboration platforms, and financial analysis software.
• Strong working relationships with external partners including law enforcement, regulatory agencies, and civic groups that advocate for investors, consumers and older adults.
• Effective communication with colleagues, State officials and the public at large.
• A seven (7) year combination of education and/or experience providing a knowledge of securities, law, or finance. Equivalent relevant experience may be substituted for education on a year for year basis.

Nice To Haves

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

Responsibilities

• Help Mainers with complaints or questions about their investments or financial professionals.
• Investigate possible violations of state securities laws and other relevant statutes and regulations.
• Analyze complex financial transactions and practices involving a wide range of assets, including stocks, bonds, ETFs and mutual funds, alternative investments, cryptocurrencies and other digital assets.
• Prepare investigative summaries and reports of your findings and recommend enforcement actions.
• Testify in administrative hearings and court proceedings.
• Draft subpoenas and document requests, administrative orders and consent agreements.
• Review license applications from broker-dealer agents and investment adviser representatives.

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 (5% decrease in employee-only premiums)
• Dental Insurance (State pays 100% of employee-only dental premiums)
• Retirement Plan (Maine Public Employees Retirement System - MainePERS)
• Gym Membership Reimbursement (up to $40 per month)
• Health and Dependent Care Flexible Spending Accounts
• Public Service Student Loan Forgiveness eligibility
• Living Resources Program (employee assistance program)
• Parental leave (42 consecutive calendar days of fully paid leave)
• Voluntary Deferred Compensation (MaineSaves 457(b) account)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree