Compliance Examiner

Overview

As a Compliance Examiner, you will help safeguard Missouri investors and promote fairness and integrity in our financial markets. Your work ensures that investment advisers and broker-dealers operate ethically, responsibly, and in compliance with state and federal laws. You are part detective, part analyst, part educator—and fully dedicated to protecting the public trust. This position is suitable for someone with roots in central Missouri who is willing to relocate to St.

Louis after training completes.

• Conduct detailed on-site and remote examinations of Missouri-registered investment advisers (IAs) and broker-dealers (BDs).
• Review and analyze financial records, operational processes, and internal controls.
• Identify risks, inconsistencies, and potential compliance issues.
• Work closely with Division attorneys to interpret and apply securities laws.
• Prepare clear, comprehensive examination reports and deficiency letters.
• Serve as a key point of contact between the Division and the financial services industry.
• Provide guidance to advisers and firms, helping them operate within Missouri's regulatory framework.
• Support continuous improvement by recommending enhancements to examination procedures.
• Utilize emerging technologies, including AI-based tools, to strengthen oversight and insight.

• Bachelor's degree in Financial Planning (preferred), or Accounting, Finance, Economics, Business Administration, or related field.
• 0-5 years of experience in financial services, compliance, or a similar environment.
• Strong analytical, critical thinking, and problem-solving skills.
• Excellent written and verbal communication abilities.
• Attention to detail, strong organizational skills, and a desire to learn.
• Ability to work independently and as part of a collaborative team.
• Proficiency in Microsoft Office and basic financial analysis tools.
• Willingness to adopt artificial intelligence tools to increase depth and efficiency.

• Advanced degree or industry certifications (e.g., CFA, CFP, SIE, Series 7/63/65/66).
• Experience in financial services, accounting, auditing or regulatory roles.

• Training Phase (12-24 months):
  You will work in our Jefferson City office, receiving in-depth, hands-on training from experienced examiners and attorneys.
• Career Placement:
  After training, you will relocate to the St. Louis Metropolitan Area, where most Missouri state-registered advisers and broker-dealers are located, supporting long-term growth.
• Optional SIE Exam Support:
  After two years in the role, you may prepare for and take the Securities Industry Essentials (SIE) exam with Division support.

The above job description does not imply these are the only duties; the incumbent is expected to perform other duties necessary for the department’s effective operation.

Salary: $50,004 per year