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Securities Examiner II
The Securities Examiner II is responsible for ensuring the financial integrity and regulatory compliance of securities firms, broker-dealers, investment advisers, and other entities in the securities industry. This role involves evaluating operations, reviewing financial transactions, and verifying adherence to pre-determined federal and state securities laws. The Securities Examiner II plays an essential role in maintaining transparency, stability, and investor confidence in the financial markets.
Class Code:
FIF08P
Job Grade:
SPC03
Special Job Requirements:
Typical Functions:
Conduct routine and specialized examinations of securities firms, investment advisers, and broker-dealers to assess financial solvency and regulatory compliance. Analyze financial records, trading activities, investment portfolios, and risk management practices to identify abnormalities, irregularities, or areas of concern. Evaluate internal controls, corporate governance, and compliance programs to ensure alignment with securities regulations. Investigate cases involving potential violations of securities laws, such as fraud, insider trading, or misconduct. Prepare detailed examination reports outlining findings, observations, and recommendations for corrective actions. Collaborate with industry personnel, legal teams, and regulatory agencies to address issues and enforce compliance measures. Stay informed about changes in securities laws, regulations, and market trends to enhance examination methodologies.
Knowledge, Abilities, and Skills:
Strong analytical and critical thinking skills to evaluate financial data and identify risks. Comprehensive knowledge of securities laws, financial markets, and investment strategies. Excellent communication and interpersonal skills for preparing reports and interacting with a variety of assorted personnel. High attention to detail and ability to handle sensitive financial information with confidentiality. Proficiency in financial analysis tools, spreadsheets, and regulatory software. Willingness to travel for on-site examinations and investigations.
Minimum Qualifications:
A bachelor’s degree in accounting, finance, economics, business administration, or a related field. Coursework should include subjects such as financial accounting, securities regulation, investment analysis, and economics. Minimum of 6 years of experience in securities examinations, investment operations, or regulatory compliance. Professional certifications, such as Chartered Financial Analyst (CFA), Certified Public Accountant (CPA), or Financial Risk Manager (FRM), may substitute for some experience. Satisfaction of the minimum qualifications, including years of experience and service, does not entitle employees to automatic progression within the job series. Promotion to the next classification level is at the discretion of the department and the Office of Personnel Management, taking into consideration the employee’s demonstrated skills, competencies, performance, workload responsibilities, and organizational needs.
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