Securities Examiner Iv Oahu

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.

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.

The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If you require reasonable accommodations in completing an application, any pre-employment testing, or otherwise participating in the selection process, please call  for assistance.

The Department of Human Resources Development (HRD) will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications. Please ensure that the email address and contact information you provide is current, secure, and readily accessible to you.

The State of Hawaii is an equal opportunity employer.