Examiner

Job Posting Title

Examiner

Agency

630 DEPARTMENT OF SECURITIES

Supervisory Organization

Department of Securities

Job Posting End Date

Refer to the date listed at the top of this posting, if available. Continuous if date is blank.

Note:

Applications will be accepted until 11:59 PM on the day prior to the posting end date above.

Estimated Appointment End Date (Continuous if Blank)

Full/Part-Time

Full time

Job Type

Regular

Compensation

Level I - $75,000/yr

Job Description

The Examiner is responsible for conducting examinations of registered broker-dealer and investment-adviser firms and representatives to ensure compliance with the Oklahoma Uniform Securities Act of 2004.

• Conduct examinations of registered broker-dealers and investment advisers to ensure compliance with the Oklahoma Uniform Securities Act of 2004.
• Review and analyze financial and non-financial records obtained through the Department’s examination process.
• Draft correspondence relating to deficiencies found during examinations.
• Review enforcement-related filings against registered broker-dealers and investment advisers and representatives.
• Respond to inquiries from investment advisers, broker-dealers, their counsel, and the public.

This position consists of three (3) levels which are distinguished based on the complexity of job assignments, the expertise required to complete assigned duties, and the responsibilities assigned to the incumbent.

• Level I - Education and experience requirements consist of a bachelor’s degree in business, accounting, finance, economics, or a closely related field from an accredited college or university; or equivalent combination of education substituting one (1) year of securities industry experience for each year of the required education.
• Level II - Those requirements identified in Level I plus demonstrated knowledge of securities laws and three (3) additional years of qualifying experience.
• Level III - Those requirements identified in Level II plus demonstrated knowledge of securities laws and three (3) additional years of qualifying experience.

Minimum education and experience requirements consist of a bachelor’s degree in business, accounting, finance, economics, or a closely related field from an accredited college or university; or equivalent combination of education substituting one (1) year of securities industry experience for each year of the required education.

Strong interpersonal and writing skills required. Must have reliable transportation as some travel will be required.

Preference may be given to candidates with:

• Experience with Central Registration Depository (CRD) and/or Investment Adviser Registration Depository (IARD).
• Experience working for a registered broker-dealer or investment adviser in the compliance area.
• Experience working for a securities regulator.
• Designation as a Certified Fraud Examiner.
• Experience with financial accounting or designation as a certified public accountant.

For questions regarding specific duties or details of this position, please email HR.gov. Reasonable accommodation to individuals with disabilities may be provided upon request.

An Equal Opportunity Employer.

Equal Opportunity Employment

The State of Oklahoma is an equal opportunity employer and does not discriminate on the basis of genetic information, race, religion, color, sex, age, national origin, or disability.

Current active State of Oklahoma employees must apply for open positions internally through the Workday Jobs Hub.