Senior Securities Examiner

Senior Securities Examiner

Protect Maine investors and help financial firms and professionals serve their clients ethically and in compliance with applicable laws and regulations. The Senior Securities Examiner position with the Maine Office of Securities conducts examinations of and reviews licensing applications from investment advisers, broker-dealers and their representatives.

If you are a detail-oriented team player with strong communication skills, join our team to help prevent fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets.

The Office is an agency within the Department of Professional and Financial Regulation. We offer a collaborative and supportive workplace with excellent training opportunities, benefits and work/life balance. A hybrid work schedule is available after the initial training period.

As a Senior Securities Examiner, you will be:

• Conducting field and desk examinations of broker-dealers and investment advisers – including review of books and records, internal controls, client files, and correspondence – to ensure compliance with state law, rules and regulations.
• Preparing examination reports with findings, recommendations, supporting data, and financial analysis.
• Testifying at hearings to explain examination findings.
• Reviewing license applications for investment advisers, broker-dealers and representatives.
• Providing guidance and feedback to securities firms and professionals.
• Recommending changes to laws, rules, and policies that protect investors and respond to industry trends.
• Assisting investigative staff as needed to respond to investor complaints.

To be successful in the position you must have or be able to develop:

• Knowledge of State and federal securities laws and regulations.
• Proficiency in Microsoft Suite including Excel and Word, cloud-based collaboration platforms, and financial analysis software.
• Financial examination or securities industry experience.
• Analyzing financial records and data.
• Writing clear, effective and precise reports.
• Managing multiple tasks and priorities.
• Effective communication with colleagues, regulated firms and professionals, and the public at large.

Minimum Qualifications

A six (6) year combination of education, training, and/or experience in the securities or other financial services industry, securities or other financial services regulation, finance, law, accounting, or auditing.

Preferences:

Preference will be given to candidates with financial services or financial regulatory experience, a law degree, or a background conducting examinations or investigations.

Contact Info:

Questions about this position should be directed to James Trask at james.a.trask or

Benefits of working for the State of Maine:

• Work-Life Fit – Rest is essential. Take time for yourself using 13 paid holidays, 12 days of sick leave, and 3+ weeks of vacation leave annually. Vacation leave accrual increases with years of service, and overtime-exempt employees receive personal leave.
• Health Insurance Coverage – The State of Maine pays 85%-100% of employee-only premiums ($12,845.82 - $15,112.76 annual value), depending on salary. Use this chart to find the premium costs for you and your family, including the percentage of dependent coverage paid by the State.
• Health Insurance Premium Credit – Participation decreases employee-only premiums by 5%. Visit the Office of Employee Health and Wellness for more information about program requirements.
• Dental Insurance – The State of Maine pays 100% of employee-only dental premiums ($395.72 annual value).
• Retirement Plan – The State contributes the equivalent of 14.06% of the employee's pay towards the Maine Public Employees Retirement System (MainePERS).
• Parental leave is one of the most important benefits for any working parent. All employees who are welcoming a child—including non-birthing and adoptive parents—receive six weeks of fully paid parental leave. Additional, unpaid leave may also be available, under the Family and Medical Leave Act.

State employees are eligible for an extensive and highly competitive benefits package, covering many aspects of wellness. Learn about additional wellness benefits for State employees from the Office of Employee Health and Wellness.

Note:

Benefits may vary somewhat according to specific collective bargaining agreements and are prorated for anything less than full-time.