Financial Examiner

Job Description - Financial Examiner 2 )

Position Title:

The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for a full-time Securities Division Investigator and Financial Examiner
. The CSI is a small, family-friendly agency that values unity, effective working relationships, and mutual respect. We challenge our team members to excel as individuals and as part of a supportive team, offering mentorship, education, training, and opportunities for career growth.

To learn more about our agency, benefits, and this position, visit our website.

We protect all Montanans by regulating two of the state’s largest industries –
securities and insurance
. Our mission is to foster a thriving marketplace through education, common-sense regulation, and equitable enforcement of the law, ensuring swift accountability for fraudsters and justice for victims.

The Securities Division is responsible for the following:

• Educating Montana's consumers and investors on securities
• Investigating securities and financial fraud
• Encouraging capital investment in Montana
• Promoting uniformity in the market through oversight of the securities industry
• Examining the securities industry for compliance with the Montana Securities Act

We are currently seeking a Securities Division Investigator and Financial Examiner
. This position supports the agency's mission by conducting:

• Financial regulatory examinations of Montana-registered broker‑dealer and investment adviser firms to analyze the financial condition of the firms, ensuring compliance with state and federal securities regulatory requirements, and helping to establish a well-regulated securities industry in Montana that encourages capital investment.
• Investigations into allegations of securities fraud or violations of the Montana Securities Act.

• Knowledge of the concepts and theories of law enforcement; criminal investigations; ability to develop innovative approaches to investigations; conduct research and analysis; exercise wide latitude of professional independent judgment and decisions; and act persuasively in reviewing evidence and examination work papers to determine whether they satisfy the requirements governed by law.
• Skill in establishing and implementing examination procedures, work methods, and priorities; reviewing complex financial data and material; writing/editing skills to write and review comprehensive examination reports.
• Experience in database applications and Microsoft Office software, including Word, Excel, PowerPoint, Teams, and Outlook.
• Ability to analyze financial statements of broker‑dealer and investment adviser firms.
• Ability to use sound judgement, examine technical data, and identify discrepancies.
• Strong team player with the ability to establish and maintain effective working relationships with other employees, the securities industry, and the public.
• Strong communication skills are essential, along with the ability to work efficiently and productively with little to no supervision.

• Knowledge of the Montana Securities Act and promulgated administrative rules thereunder; the federal Securities and Exchange Acts of 1933 and 1934;
  Investment Advisors Act of 1940;
  Investment Company Act of 1940; applicable Financial Industry Regulatory Authority and Securities and Exchange Commission regulations and laws; books and records requirements for broker‑dealer and investment advisor firms; and the accounting theories, GAAP, and other procedures established for securities firms.
• Knowledge of economic and accounting practices, examining and auditing techniques, and analysis of financial data.
• Knowledge of blockchain technology and analytics, including digital assets, cryptocurrencies, tokens, etc.

• Bachelor’s degree in Accounting, Business, Finance, Criminal Justice, or related field
• Three (3) years of Financial Securities‑related or Investigative Experience
• Other combinations of education and experience may be considered on a case‑by‑case basis.