Financial Securities Examiner - Registration and Compliance

Overview

Introduction. Help us uphold our mission to protect investors as a Securities Examiner in our Bureau of Professional Registration and Compliance. This position in the Division of Securities within DFI assists in applying Wisconsin’s securities statutes and rules related to the registration and regulation of broker-dealers, securities agents, investment advisers and investment adviser representatives.

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 Securities Examiner will ensure compliance of broker-dealers, securities agents, investment advisers and investment adviser representatives with the Wisconsin Uniform Securities Law. This will include reviewing and evaluating registration applications, conducting on-site examinations of investment advisers and broker-dealers, investigating the business practices of securities firms and professionals in response to customer complaints or other sources, and evaluating whether administrative action is necessary and appropriate to enforce the securities laws.

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 each level is met.

This position requires the ability to travel independently for training and business needs. Travel may on occasion include overnight stays. The majority of travel will be within the State of Wisconsin, however, limited out of state travel may be required for training purposes.

Prior to any appointments for position(s) filled from this announcement, candidates may be subject to a comprehensive criminal background check.

This state agency does not sponsor work visas. Any appointment…