Senior Securities Specialist (Investigator)

State of Maine•Gardiner, ME

9d•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. This role involves investigating possible violations of state securities laws, analyzing complex financial transactions, preparing investigative summaries and reports, recommending enforcement actions, testifying in administrative hearings and court proceedings, drafting legal documents, and reviewing license applications. The office offers a collaborative and supportive workplace with excellent training opportunities, benefits, and work/life balance, including a hybrid work schedule 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.