More jobs:
Securities & Market Regulation Investigator
Job in
Des Moines, Polk County, Iowa, 50319, USA
Listed on 2026-07-25
Listing for:
State of Iowa - Executive Branch
Full Time
position Listed on 2026-07-25
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
The State of Iowa - Executive Branch is seeking a Securities Examiner 1 in the Market Regulation Bureau to oversee regulation of investment advisors and broker-dealer offices. The role protects consumers by enforcing securities and insurance statutes and conducting investigations and examinations in line with state requirements.
Responsibilities include examining entities, investigating potential violations, reviewing complaints, and preparing formal cases for action, with adherence to FINRA/SEC
#J-18808-LjbffrTo View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×