Senior Securities Specialist; Investigator

If you are a current State of Maine employee, please submit your application through the internal application process using the Find Jobs report in PRISM. Seasonal employees who do not have PRISM access should apply through the State’s career page and indicate on the application that they have previously worked for the State..Department of Professional and Financial Regulation (& Boards) - Office of Securities Job Class Code: 0888

Grade: 25 Professional/Technical Salary: $56,867.20 - $79,747.20/Annually

Location:

Gardiner, MEOpening Date:
September 27, 2028

Closing Date:
October 13, 2028

Currently, this position is not eligible for visa sponsorship or STEM OPT extensions.

Are you suspicious of ads that promise high returns on risky investments and guarantee against any financial loss? We are too. These ads are always too good to be true, but that doesn’t stop scammers from trying to defraud Maine investors.

If you are a detail-oriented team player with strong communication skills, come join the team at the Maine Office of Securities to help protect Mainers from scams and other deceptive and unethical financial practices.

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 Specialist (“Investigator”) , you will:

Help Mainers with complaints or questions about their investments or financial professionals.

Investigate possible violations of state securities laws and other relevant statutes and regulations.

Analyze complex financial transactions and practices involving a wide range of assets, including stocks, bonds, ETFs and mutual funds, alternative investments, cryptocurrencies and other digital assets.

Prepare investigative summaries and reports of your findings and recommend enforcement actions.

Testify in administrative hearings and court proceedings.

Draft subpoenas and document requests, administrative orders and consent agreements.

Review license applications from broker-dealer agents and investment adviser representatives.

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

Knowledge of State and federal securities laws and regulations, and investigative policies and procedures.

Proficiency in Microsoft Word and Excel, cloud-based collaboration platforms, and financial analysis software.

Strong working relationships with external partners including law enforcement, regulatory agencies, and civic groups that advocate for investors, consumers and older adults.

Effective communication with colleagues, State officials and the public imum QualificationsA seven (7) year combination of education and/or experience providing a knowledge of securities, law, or finance. Equivalent relevant experience may be substituted for education on a year for year basis.

Preferences:

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

Contact Info:

Questions about this position should be directed to Parker Ferland at parker.a.ferland or .

Benefits of working for the State of Maine:

No matter where you work across Maine state government, you find employees who embody our state motto— Dirigo  or  I lead —as they provide essential services to Mainers every day. We believe in supporting our workforce's health and wellbeing with a valuable total compensation package, including:

Work-Life Balance – 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…