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Deputy Securities Commissioner
Class Code:
PPE03C
Job Grade:
SPC09
Special Job Requirements:
Typical Functions:
Oversee the enforcement of securities laws and regulations. Assist in the development and implementation of policies and procedures for the department. Supervise investigations, examinations, and audits to ensure compliance with securities regulations. Address and resolve complaints and disputes related to securities transactions. Represent the department in public forums, industry events, and legislative hearings. Collaborate with state, federal, and international regulatory agencies. Provide expert advice and testimony on securities-related matters. Supervise and mentor departmental personnel in an attempt to foster a productive and ethical work environment. Develop and manage the department’s budget and resources. Monitor market trends and emerging issues to adapt regulatory strategies accordingly.
Knowledge, Abilities, and Skills:
Exceptional analytical and problem-solving skills. Strong communication and interpersonal abilities. Leadership and team management expertise. In-depth understanding of financial markets, securities products, and regulatory frameworks. Ability to navigate complex legal and regulatory landscapes.
Minimum Qualifications:
Bachelor’s degree in finance, accounting, business administration, public administration, or a related field. Minimum of 12 years of experience in securities regulation, financial services, or a related field. Demonstrated leadership and management experience, preferably in a regulatory or public administration environment. Strong knowledge of state and federal securities laws and regulations. Proven track record in policy development and strategic planning.
Required Certificates:
N/A OTHER JOB RELATED EDUCATION AND/OR EXPERIENCE MAY BE SUBSTITUTED FOR ALL OR PART OF THESE BASIC REQUIREMENTS, EXCEPT FOR CERTIFICATION OR LICENSURE REQUIREMENTS, UPON APPROVAL OF THE QUALIFICATIONS REVIEW COMMITTEE.
Exempt:
E