Supervising Securities Examiner Oahu

Recruitment Number 25-0037

Salary: $5,918 to $7,198 per month (SR-24, Step D to I)

Note:

Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.

This continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.

Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors and/or audit broker-dealers, issuers and investment advisers to ensure compliance with applicable statutory and regulatory requirements.

To qualify, you must meet all of the following requirements:

Legal Authorization to Work Requirement: The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.

Basic Education Requirement: A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.

Specialized

Experience:

Three and one-half (3 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.

• Professional experience in reviewing, analyzing, or preparing securities offerings;
• Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities;
• Professional experience in the investigation and/or prosecution of securities violations.

Prerequisite Knowledge and Abilities Required
:
In addition to the knowledge required at the IV level, must be able to plan, supervise and review the activities of securities examiners to ensure that work performed is in compliance with applicable statutory and regulatory requirements; analyze problems and seek solutions concerning the application and interpretation of securities laws and regulations; implement program objectives, policies and procedures; plan, assign, review and evaluate the work of others;

achieve and maintain effective working relationships with regulated businesses, industry members and members of the public sector.

Applicants must possess the ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups.

Supervisory Aptitude: Demonstration of aptitude or potential for the performance of supervisory duties through successful completion of regular or special assignments which involve some supervisory responsibilities or aspects of supervision, e.g., by serving as a group or team leader, by the completion of training courses in supervision accompanied by application of supervisory skills in work assignments; and/or by favorable appraisals by a supervisor indicating the possession of supervisory potential.

Substitutions Allowed: Relevant substitutions as described in the Minimum Qualification Requirements will apply.

The State of Hawai'i…