Job Class Search

Job Details

Deputy Securities Commissioner

The Deputy Securities Commissioner serves as the primary advisor and assistant to the Securities Commissioner, overseeing the regulation and enforcement of securities laws to ensure an impartial and transparent financial marketplace. This role involves managing the department's operations, developing policies, and ensuring compliance with pre-determined state and federal securities regulations. The Deputy Commissioner plays a critical role in protecting investors, fostering economic growth, and maintaining the integrity of the securities industry. This classification requires exceptional leadership, strategic planning, and a deep understanding of securities laws and financial markets.

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
Scroll to Top