Securities Examiner I
Job in
Montpelier, Washington County, Vermont, 05604, USA
Listed on 2026-07-30
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-30
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Financial Analyst
Job Description & How to Apply Below
Responsibilities
- Examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms
- Ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations
- Analyze the firm's books and records, trading practices, fee structure, and compliance policies
- Investigate Vermont investor complaints and processes state investment adviser registration applications
- Engage in educational outreach events on behalf of the Division
- Bachelor’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field OR Associate’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field AND two (2) or more years of 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
- High school diploma or equivalent or higher 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
Demonstrates expertise in compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations, alongside strong analytical skills in financial analysis, auditing, and compliance oversight. Engages effectively in educational outreach and investigation of investor complaints.
Highest-signal resume keywords- Compliance Oversight
- Financial Analysis
- Auditing Experience
- Regulatory Knowledge
- Educational Outreach
- Financial Analysis
- Auditing
- Compliance
- Investigation
- Record Analysis
- Fee Structure Analysis
- Trading Practices Analysis
- Communication
- Analytical Thinking
- Problem Solving
- Vermont Uniform Securities Act
- Vermont Securities Regulations
- Broker-Dealer Firms
- Investment Advisory Firms
- Investor Complaints
- State Investment Adviser Registration
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