Financial Securities Examiner - Enforcement

Overview

Introduction:
Help us uphold our mission to protect investors as a Securities Examiner in our Bureau of Enforcement in the Division of Securities at the Wisconsin Department of Financial Institutions. In this role, you will be responsible for investigating possible violations of the State’s Securities and Franchise laws and preparing investigation results for use in administrative, civil, or criminal litigation.

This classification series provides multiple career growth and advancement opportunities as knowledge and experience is gained.

This full-time permanent position is headquartered at and required to work from the Hill Farms State Office Building on the near west side of Madison, WI at least 2 days per week. We are also conveniently located close to the restaurants, shopping, and entertainment of the Hilldale Mall. This position offers a hybridized work schedule.
All employees working a hybrid work schedule are generally expected to telework from within the State of Wisconsin
. This topic will be discussed more at the time of the interview.

The Department of Financial Institutions (DFI) ensures the safety and soundness of Wisconsin’s financial institutions, protects consumers of financial services and facilitates economic growth. The agency regulates and licenses financial service providers who do business in Wisconsin. Find out more about DFI here!

DFI Is a Great Place To Work! In Addition To Meaningful And Rewarding Work, We Offer a Competitive Benefits Package Featuring:

• Substantial leave time including at least 3.5 weeks of paid leave time to start, 9 paid holidays, and 130 hours of sick time that roll over each year.
• Excellent and affordable health, vision, and dental benefits (health plan options start at just $42/month for single plans and $104/month for family plans after two months of employment)
• A casual office atmosphere, flexible work schedules, and telework options depending on the position’s requirements
• An exceptional pension plan with employer match and lifetime retirement payment, plus an optional tax advantaged 457 retirement savings plan
• Well Wisconsin Wellness Program
• A free and confidential employee assistance program that offers employees and their immediate family dependents a variety of tools, resources, and professional consultation services to support their health, goals, and overall well-being
• Use this Total Rewards Calculator to see the total value of our competitive benefits package!

In addition to our generous employee benefits, we strive for inclusivity and celebrate different religious holidays and cultural observances and provide flexibility for utilizing paid time off for such celebrations.

The primary responsibility of this position will involve reviewing, researching, analyzing, and summarizing financial data and records
. This position will be responsible for drawing conclusions based on the financial data analyses and conducting interviews of investors and other witnesses
.

The Entry Securities Examiner will conduct investigations of possible violations of the Securities and Franchise laws by:

• drafting subpoenas
• conducting background research and witness interviews
• performing financial analyses of the source and use of funds
• drafting reports that summarize factual findings to determine the extent of securities and franchise law violations
• assisting in administrative and judicial proceedings by serving as point of contact with testimonial witnesses
• creating evidentiary and demonstrative exhibits and testifying as needed in enforcement proceedings

At this level, the Securities Examiner will initially perform fewer complex investigations under close supervision with the aim to investigate cases with increasing complexity and independence.

This position is in schedule-range (07-04) with a salary of $28.00 - $31.00 per hour, plus excellent benefits
. A twelve-month probationary period is required. Pay for current state employees will be set in accordance with the Wisconsin State Compensation Plan.

This classification series is eligible to receive up to a total of four sequential $1.50 per hour add-ons once criteria of…