Securities Examiner II

As an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker‑dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner analyzes the firm's books and records, trading practices, fee structure, and compliance policies to ensure compliance with applicable law.

Examinations are conducted both on‑site and remotely.

An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. The Examiner must be self‑motivated and possess strong time‑management, organization, critical thinking, and communication skills.

This position,
Securities Examiner II (Job Requisition #55413), is open to all State employees and external applicants.

Duties are performed in a hybrid office setting as well as at field examination sites in Vermont and out of state. Occasional out‑of‑state travel and work outside normal hours may be required. Private means of transportation must be available for travel. There is significant interaction with the personnel of financial services firms, attorneys, accountants, federal and state regulatory organizations, industry representatives and the public sometimes in adversarial situations.

Associate’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field AND four (4) years or more experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience.

OR

High school diploma or equivalent or higher AND two (2) years or more of professional securities examination experience in a regulatory setting.

OR

Eighteen (18) months as Securities Examiner I with satisfactory completion of Department training and performance requirements.

A bachelor's degree or higher in finance, accounting, business, economics, public administration, or pre‑law.

As a State employee you are offered a great career opportunity, but it's more than a paycheck. The State's total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including:

• 80% State paid medical premium and a dental plan at no cost for employees and their families
• Work/Life balance: 11 paid holidays each year and a generous leave plan
• State Paid Family and Medical Leave Insurance (FMLI)
• Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan
• Tuition Reimbursement
• Flexible spending healthcare and childcare reimbursement accounts
• Low cost group life insurance
• Incentive-based Wellness Program
• Qualified Employer for Public Service Student Loan Forgiveness Program

The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status.

The State’s employment decisions are merit‑based. Retaliatory adverse employment actions by the State are forbidden.