Securities Compliance Examiner
Company Name:
State of Nebraska
Job Code: 60003738
Job Title: Securities Compliance Examiner
Closing Date/Time: Continuous
Salary: $24.12 Hourly
$50,169.60 Annually
Job Type: PERM FULL TIME
Location: Lincoln, Nebraska
Requisition #: 201400961
Position #: 60003738
Department: Department of Banking and Finance
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Description Benefits Supplemental Questions
This position may be understaffed for up to one year at the lower Securities Examiner II level in the event the candidate possesses lesser overall experience. The Nebraska Department of Banking and Finance-Bureau of Securities regulates the offer and sale of securities to Nebraska residents. This is accomplished using a variety of regulatory and enforcement tools, including registration requirements for securities, franchise and business opportunity offerings, and registration and examination of securities, Broker-Dealers, and Investment Advisers. The Bureau of Securities works directly with the entities it regulates and responds to customer complaints, undertakes investigations based upon complaints and undercover work, and initiates appropriate administrative, civil, and criminal cases. For more information about the Nebraska Department of Banking and Finance, please visit our website at .
Examples of Work:
Performs examinations of investment adviser and broker-dealer offices registered with the State of Nebraska to determine the financial condition and compliance with laws, rules and regulations. Prepare and review reports, schedules, summaries of exams conducted, and written conclusions and recommendations. Prepare referrals for investigations, and statistical analyses to recommend appropriate actions on violations discovered. Assist in preparing letters of caution or admonishment, and/or counsel with industry audit targets found in violation of rules and regulations. Conduct ''for cause'' exam of investment advisers and broker-dealers as needed. Assist in investigation of violations of the Nebraska Securities Act. Perform related duties assigned by the Assistant Director to accomplish agency objectives. Travel is required, including some overnight travel. Individuals interviewed will be asked to provide a college transcript. A criminal background check will be completed on the selected candidate.
Qualifications / Requirements:
REQUIREMENTS: Bachelor''s or graduate degree from an accredited college or university with at least 24 semester hours in the areas of business administration, accounting, finance, economics, auditing, or a closely related field, AND two years of professional financial examination experience with a state, federal, or self-regulatory organization. Two years of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.
OTHER: 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.
Knowledge, Skills and Abilities:
Knowledge of accounting principles and practices, corporate law and finance, and state securities law. Ability to define problems, collect data, establish facts and draw valid conclusions; review and interpret financial records and journals; handle sensitive inquiries and develop good rapport with public, business representatives and government officials; prepare detailed reports and analyses of findings. Demonstrated exceptional analytical, interpersonal, written, and oral communication skills. The ability to deal with conflict in a constructive manner. Good computer skills are necessary, including proficiency with Microsoft Word and Excel. Must be able to meet deadlines and work with limited supervision.Estimated Salary: $20 to $28 per hour based on qualifications.
State of Nebraska
Job Code: 60003738
Job Title: Securities Compliance Examiner
Closing Date/Time: Continuous
Salary: $24.12 Hourly
$50,169.60 Annually
Job Type: PERM FULL TIME
Location: Lincoln, Nebraska
Requisition #: 201400961
Position #: 60003738
Department: Department of Banking and Finance
Print Job Information-Apply
Description Benefits Supplemental Questions
This position may be understaffed for up to one year at the lower Securities Examiner II level in the event the candidate possesses lesser overall experience. The Nebraska Department of Banking and Finance-Bureau of Securities regulates the offer and sale of securities to Nebraska residents. This is accomplished using a variety of regulatory and enforcement tools, including registration requirements for securities, franchise and business opportunity offerings, and registration and examination of securities, Broker-Dealers, and Investment Advisers. The Bureau of Securities works directly with the entities it regulates and responds to customer complaints, undertakes investigations based upon complaints and undercover work, and initiates appropriate administrative, civil, and criminal cases. For more information about the Nebraska Department of Banking and Finance, please visit our website at .
Examples of Work:
Performs examinations of investment adviser and broker-dealer offices registered with the State of Nebraska to determine the financial condition and compliance with laws, rules and regulations. Prepare and review reports, schedules, summaries of exams conducted, and written conclusions and recommendations. Prepare referrals for investigations, and statistical analyses to recommend appropriate actions on violations discovered. Assist in preparing letters of caution or admonishment, and/or counsel with industry audit targets found in violation of rules and regulations. Conduct ''for cause'' exam of investment advisers and broker-dealers as needed. Assist in investigation of violations of the Nebraska Securities Act. Perform related duties assigned by the Assistant Director to accomplish agency objectives. Travel is required, including some overnight travel. Individuals interviewed will be asked to provide a college transcript. A criminal background check will be completed on the selected candidate.
Qualifications / Requirements:
REQUIREMENTS: Bachelor''s or graduate degree from an accredited college or university with at least 24 semester hours in the areas of business administration, accounting, finance, economics, auditing, or a closely related field, AND two years of professional financial examination experience with a state, federal, or self-regulatory organization. Two years of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.
OTHER: 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.
Knowledge, Skills and Abilities:
Knowledge of accounting principles and practices, corporate law and finance, and state securities law. Ability to define problems, collect data, establish facts and draw valid conclusions; review and interpret financial records and journals; handle sensitive inquiries and develop good rapport with public, business representatives and government officials; prepare detailed reports and analyses of findings. Demonstrated exceptional analytical, interpersonal, written, and oral communication skills. The ability to deal with conflict in a constructive manner. Good computer skills are necessary, including proficiency with Microsoft Word and Excel. Must be able to meet deadlines and work with limited supervision.Estimated Salary: $20 to $28 per hour based on qualifications.
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