Financial Examiner

Financial Examiner )

The Montana State Auditor, Commissioner of Securities and Insurance (CSI), protects Montanans by regulating two of the state's largest industries – securities and insurance. CSI works to foster a thriving marketplace through education, commonsense regulation, and equitable enforcement of the law to support consumers, businesses, and a fair insurance market.

CSI has an opportunity for a full‑time Financial Examiner in the Securities Bureau in Helena, Montana. The position is a Securities Examiner for the Securities Department and is responsible for conducting and overseeing regulatory examinations of Montana registered broker‑dealer and investment adviser firms, analyzing and determining their financial condition, and ensuring that firms adhere to state and federal securities laws. The role coordinates financial analysis work, oversees financial compliance assessments, and facilitates examination program development to protect Montana investors.

• Conduct examinations of Montana registered broker‑dealer and investment adviser firms to analyze and determine financial condition and ensure adherence to examination requirements of state and federal regulations.
• Conduct investigations, in collaboration with the Deputy Securities Commissioner, Financial Examiner Supervisor, department staff, law enforcement, and legal teams, into allegations of securities fraud or violations.
• Develop and design examination programs for targeted examination of broker‑dealer and investment adviser firms to ensure best practices and regulatory compliance in all examinations.

• Knowledge of the Montana Securities Act and its administrative rules, the federal Securities Act of 1933 and Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, and applicable FINRA and SEC record‑keeping requirements for broker‑dealer and investment adviser firms.
• Understanding of accounting theories, GAAP practices, and procedures applicable to securities firms.
• Ability to write and edit examination report drafts, establish and implement work methods and procedures, and set priorities as directed by department policies.
• Skill in reviewing and analyzing complex financial data, making independent judgments, and persuasively evaluating examination work papers.
• Experience determining routine outcomes of financial examinations based on examination results.

Typical requirements include a bachelor’s degree in business, accounting, or a related field and three years of progressively responsible experience in the securities industry. Alternate combinations of relevant education and experience may be considered on a case‑by‑case basis.

• Position is not supervisory.
• Successful completion of a fingerprint background check.
• Possession of a valid driver’s license.

State of Montana benefits, including retirement, health insurance options, paid leave, and predictable hours — a total compensation package delivering financial security and a retirement you can count on.

$65,000.00 – $70,000.00 annually.

Helena, Montana – on‑site full‑time. Telework is not available for this position.

The State of Montana is an equal opportunity employer. The State of Montana does not discriminate based on race, color, national origin, religion, sex, sexual orientation, gender identity or expression, pregnancy, childbirth or related medical conditions, age, disability, genetic information, marital status, creed, political affiliation, veteran status, military service, retaliation, or any other factor not related to merit and qualifications of an employee or applicant.