Securities Examiner

Securities Examiner 1

This is a non-merit position. Positions in this class are exempt from the screening and referral requirements of the Iowa Department of Administrative Services - Human Resources Enterprise Candidates must follow the instructions in the "To Apply" section. The Iowa Insurance Division is recruiting for a Securities Examiner 1 in the Market Regulation Bureau. This crucial position will oversee the regulation of investment advisors and securities broker-dealer offices.

It is dedicated to consumer protection by investigating and enforcing Iowa insurance and financial security statutes and regulations against unlawful, incompetent, or dishonest market conduct.

Responsibilities include:

• Perform financial and market conduct examinations and data analysis related to various entities.
• Initiate and lead thorough investigations into potential violations of state securities laws and regulations.
• Conduct field and desk examinations of investment advisors and securities broker-dealer offices while maintaining compliance with FINRA and SEC standards.
• Review, analyze and investigate consumer complaints, reports and inquiries to determine if unfair trade practices or securities law violations have occurred.
• Perform accurate reporting and electronic record keeping for all assigned investigation and examination matters.
• Participate in and document interviews and discussions with company personnel, licensed entities or individuals and policyholders.
• Prepare and refer detailed fact-based investigative cases for administrative action for potential violations of securities laws.
• Maintain compliance with FINRA and SEC standards. Conduct risk-based insurance market conduct analysis and examinations consistent with the NAIC Market Regulation Handbook.

Qualified applicants will have recent experience in financial security investigations, insurance investigations, regulatory compliance, financial crimes investigation, or a related enforcement field and a strong understanding of securities, insurance and financial security principles, practices, and state regulatory requirements. Must have the ability to analyze complex business conduct, interpret legal statutes, conduct effective interviews, and prepare detailed, well-supported investigative reports.

The Iowa Insurance Division offers a strong team culture and respect for work-life balance. We have a competitive total compensation package for all full-time employees, including:

• Iowa Public Employees Retirement System (IPERS)
• Retirement Investors Club (RIC)
• Health, Dental and Vision Insurance
• Vacation and Sick Leave
• Paid Holidays (9 days/year)
• Hybrid Work opportunities