Securities Examiner

Securities Examiner

Our mission is to equitably protect and empower consumers and workers while maintaining a predictable yet innovative regulatory environment for the businesses we regulate.

The Department of Consumer and Business Services (DCBS) is a progressive business regulatory state agency dedicated to protecting and serving Oregon's consumers and workers while supporting a positive business climate. The department administers state laws and rules governing workers' compensation, occupational safety and health, financial institutions, insurance companies, and building codes. The department has consumer protection and education programs, offices, and ombuds to help consumers, injured workers, and businesses.

This position is with the Division of Financial Regulation (DFR). DFR protects Oregonians' access to fair products and services through education, regulation, and consumer assistance. The division ensures the safety and soundness of financial institutions, availability and affordability of financial products, and fair treatment of consumers. Functions include licensing, regulating, and monitoring the conduct of banks, credit unions, financial services providers, health care service contractors, insurance companies, and licensed or registered agents of such entities.

• Examine securities broker-dealers, investment advisers, and salespersons for licensing and regulatory purposes and investigate complaints.
• Assist other investigators and examiners in investigating, analyzing, and verifying all components under investigation/examination.
• Independently conduct the investigation/examination including preparation of the examination report.
• Assist in other functions such as licensing and securities registration.

• Four years of professional level experience in Administrative Law, Finance, Securities, Accounting, Banking or related field; or two years of professional level experience in Administrative Law, Finance, Securities, Accounting, or Banking plus a Bachelor's Degree in Business, Banking, Economics, Finance, Accounting, or related field.
• Thorough knowledge of securities laws, regulations, and the securities industry or regulatory experience.
• Experience as a securities examiner.
• Good oral and written communication skills.
• Ability to work well independently and as part of a team.
• Valid driver's license and satisfactory driving record.
• Fingerprint background check as required.

• Rewarding work in a productive and creative environment.
• Colleagues passionate about public service.
• Work/life balance, 11 paid holidays a year, and a competitive benefits package.
• Advancement and learning opportunities that will help grow your career with the State of Oregon.
• Possible eligibility for the Public Service Loan Forgiveness Program.
• Paid partial telework after sufficient proficiency gained; regular, scheduled office hours required.

• Pay equity analysis will determine pay step based on experience, education, training, and certifications.
• The listed salary range is the non-PERS eligible rate; eligibility after 6 months increases by 6.95% with 6% employee retirement contribution.

DCBS is fully committed to attracting, retaining, developing, and promoting the most qualified candidates without regard to their race, gender, color, religion, sexual orientation, national origin, age, physical or mental disability, or veteran status.