Securities Examiner Senior

Overview

The work we do matters!

Hiring Agency:
Banking and Finance - Agency 19

Location:

Lincoln, NE

Hiring Rate: $29.571 per hour

Job Posting: JR Securities Examiner Senior (Open)

Applications No Longer Accepted On: (If no date is displayed, job is posted as open until closed)

Job Description:

The Nebraska Department of Banking and Finance (NDBF) - Bureau of Securities is seeking an analytical and stellar communicator to fill a Securities Examiner Senior role in the agency. Become part of teams where you have the chance to impact the citizens and securities industry of the great State of Nebraska by protecting consumers through fair and common-sense supervision.

NDBF provides an opportunity for you to make a positive difference through our important and meaningful work. For more information about NDBF, please visit our website raska.gov.

This position can be underfilled as a Securities Examiner, with the potential of becoming a Securities Examiner Senior. Must complete required minimum qualifications for a Securities Examiner Senior within the first year of employment. Should these requirements not be met, work status and requirements will be assessed at that time. Starting pay for Securities Examiner is $23.802 per hour. Securities Examiner Senior starting pay is $29.571 per hour.

Look at what we have to offer!

• 13 paid holidays
• Vacation and sick leave that begin accruing immediately
• Military leave
• 156% (that's not a typo!) state-matched retirement
• Tuition reimbursement
• Employee assistance program
• 79% employer paid health insurance plans
• Dental and vision insurance plans
• Employer-paid $20,000 life insurance policy
• Public Service Loan Forgiveness Program (PSLF) through the Federal government
• Wide variety and availability of career advancement as the largest and most diverse employer in the State
• Opportunity to be part of meaningful work and make a difference through public service
• Training and Development based on your career aspirations
• Fun, inviting teammates
• A safe and secure environment

At the State, we stand by our core values of treating others with dignity and respect, acting ethically in all situations, and creating an environment where our customer is our top priority. Apply to join our team today!

Securities Examiner Senior
:
Performs routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska. Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules. Conducts exit interviews with directors, management, and/or compliance personnel and provides specific written reports and verbal recommendations. Prepares written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance.

Makes recommendations about and participates in related enforcement action, including representing the Department as subject matter or evidentiary witness, if necessary. Conducts "for cause" exams of investment advisers and broker-dealers in response to consumer allegations of fraud, conversion of assets, theft, and sales practice violations. Assists Deputy Director-Securities Bureau in establishing examination policies and procedures, assessing firm risk, setting exam schedules, identifying industry trends and issues, and other duties as assigned.

Occasional travel is required, including some overnight travel.

Securities Examiner
:
Participates in the routine examinations of small to mid-sized investment advisers and broker-dealers registered with the State of Nebraska. Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules. Prepares exit interviews with directors, management, and/or compliance personnel and provides specific written reports and verbal recommendations.

Prepares written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance. Makes recommendations about and participates in related enforcement action, including representing the Department as subject matter or evidentiary witness, if necessary. Other duties as assigned. Occasional travel is required, including some overnight travel.

Minimum Qualifications
:

Securities Examiner: Bachelor’s Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting.

Securities Examiner Senior: Bachelor’s Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting. And, at least one year of examination, audit, compliance, or…