Securities Examiner

Job Information

State of Tennessee Job Information

Opening Date/Time: 06/09/2026 12:00AM Central Time

Closing Date/Time: 06/22/2026 11:59PM Central Time

Salary (Monthly): $3,631.00

Salary (Annually): $43,572.00

Job Type: Full-Time

Location:

Nashville, TN

Department:
Commerce and Insurance

LOCATION OF (1) POSITION(S) TO BE FILLED: DEPARTMENT OF COMMERCE & INSURANCE, DAVIDSON COUNTY

Education and Experience:

Education equivalent to graduation from a standard high school and experience equivalent to six years of full-time professional experience in one or a combination of the following: providing accounting, auditing, or financial services; conducting financial-related investigations; providing compliance services within any investment-related industry; examining financial institutions; or practicing law.

Substitution of Education for

Experience:

Graduation from an accredited college or university with a bachelor's degree and experience equivalent to two years of full-time professional experience in one or a combination of the following: providing accounting, auditing, or financial services; conducting financial-related investigations; providing compliance services within any investment-related industry; examining financial institutions; or practicing law.

OR

One year of full-time professional securities examination experience with the State of Tennessee.

A valid motor vehicle license must be required for employment in some positions.

This classification functions at the intermediate working level with a moderate sized workload performing examination work of considerable difficulty. An employee in this class is responsible for examining applications for registration of securities offerings, broker‑dealers, broker‑dealer agents, investment advisers, and investment adviser representatives. The employee is also responsible for conducting post‑registration examinations for Tennessee based broker‑dealers and investment advisers. This class differs from that of Securities Examiner 1
* in that an incumbent of the latter is training in examinations and the work is less complex. This class differs from that of Securities Examiner 3 in that the incumbent of the latter conducts more complex examinations.

• Examines filings for securities offerings, including registration applications, exemption filings, and notice filings to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules. Communicates filing deficiencies to issuers.
• Examines applications for industry registrations and exemptions, including broker‑dealers, broker‑dealer agents, investment advisers, investment adviser representatives, and issuer‑dealers to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules. Communicates filing deficiencies to applicants.
• Conducts post‑registration examinations to review the books and records of Tennessee based broker‑dealers and investment advisers to ensure compliance with the Tennessee Securities Act and Rules. Periodically travels within Tennessee to conduct on‑site examinations, including overnight stays. Works within NASAA’s NEMO 2.0 program to conduct examinations.
• Comprehends securities laws and rules and serves as a resource regarding the compliance requirements of the Tennessee Securities Act and Rules, NASAA’s Electronic Filing Depository (EFD), and FINRA’s Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD).
• Refers Tennessee Securities Act and Rules violations and disqualifications of securities offering filings, industry filings, and post‑registration examinations to the Director of Registration.
• Assists in training other Securities Examiners.
• Completes monthly and weekly reports providing statistics on securities offering filings, industry filings, and post‑registration examinations.
• Collaborates with other securities regulators to discuss market and industry trends, examination findings, and other relevant industry information and topics.

• Decision Quality
• Instills Trust
• Communicates Effectively
• Action Oriented
• Situational Adaptability

• Econ…