Securities Examiner Iv Oahu

Recruitment Information

Recruitment Number: 24-0347
Salary: $5,258 to $6,399 per month (SR-22, Step D to I)

Note:

Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.
This continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.

Independently reviews and examines applications and filings for the registration of securities offerings, securities broker‑dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund‑raising counsel and professional solicitors. Conducts audits and examinations of securities broker‑dealers and investment advisers. Makes final recommendations on applications which are complete and do not have any legal issues. On more complex applications/examinations such as those presenting questions requiring legal interpretation, questionable financial status of the applicant, etc.,

does the preliminary staff work, makes preliminary evaluations and recommendations and assists the supervisor in discussion with the applicants and their legal representative regarding nonconformance to statutory and regulatory requirements.

To qualify, you must meet all of the following requirements:

Legal Authorization To Work Requirement
The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.

Basic Education Requirement
A bachelor's degree from a regionally accredited four‑year college or university, including six (6) semester credits in accounting and/or auditing.

Specialized Experience
Two and one‑half (2 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker‑dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.

Examples of Qualifying Experience may include, but are not limited to:

• Professional experience in reviewing, analyzing, or preparing securities offerings;
• Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities;
• Professional experience in the investigation and/or prosecution of securities violations.

Prerequisite Knowledge and Abilities Required
:
In addition to the knowledge required at the III level, comprehensive knowledge of laws, rules and regulations covering the registration of securities offerings, and registration of business and operational requirements of securities broker‑dealers; investment advisers and their representatives; characteristics of various types of securities and their related risk factors; and sound investment principles.
Applicants must possess the ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups.

Substitutions Allowed
:
Relevant substitutions as described in the Minimum Qualification Requirements will apply.

The information provided above represents a summary of the complete Minimum Qualification Requirements (MQRs). To view the MQRs in their entirety , please .

The State of…