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Securities Examiner: Market Regulation & Compliance
Job in
Des Moines, Polk County, Iowa, 50319, USA
Listed on 2026-07-20
Listing for:
DGS Office of External Affairs
Full Time
position Listed on 2026-07-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Iowa Insurance Division is seeking a Securities Examiner 1 in Des Moines to oversee the regulation of investment advisors and securities broker-dealer offices. The role focuses on protecting consumers by enforcing Iowa securities statutes and regulations.
This non-merit, state civil service position will involve investigations and enforcement actions to ensure market integrity and compliance with applicable laws and regulations. Strong analytical and regulatory skills are essential.
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