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5/16/2024 (8:00 PM EDT)

24-02864

Financial Institutions Examiner I

Salary

$4,557.12 Monthly

Employment Type

EXECUTIVE BRANCH | FULL TIME | ELIGIBLE FOR OVERTIME PAY | 18A | 40.0 HR/WK

Hiring Agency

Public Protection Cabinet | Department of Financial Institutions

Location

320 Whittington Pkwy
Louisville, KY 40222 USA
The agency may authorize the selected candidate to telecommute at times. The agency may terminate or modify the telecommuting arrangement at any time.

Description

The Kentucky Department of Financial Institutions is responsible for supervision of the Financial Services Industry and for chartering, licensing and registering various financial institutions, securities firms and professionals operating in the state of Kentucky.
We are looking for a Financial Institutions Examiner I to conduct Investigations to protect Kentucky citizens from financial fraud and to ensure compliance with the Kentucky Securities Act. Work in this position includes investigating securities fraud and other potential violations of the Act.
The candidate selected for this examiner role will investigate broker/dealers, registered representatives, investment advisors, agents, and various unlicensed activity. Extensive training is offered, both internally and externally, through on-site and off-site venues. The position offers a competitive compensation package, retirement contributions, flexible work schedules and learning opportunities.
The ideal candidate will have strong verbal and written communication skills, be highly self-motivated, self- directed, and have good analytical skills.
Most in-state travel is commutable; however, overnight stays are required approximately 30 % of the time.
Responsibilities include, but are not limited to, the following:

• Perform entry level investigations
• Learn appropriate procedures to procure records
• Write reports and correspondence
• Some travel is required for both investigation and training purposes
• Will conduct supervised investigations at the entity’s location
• Will attain entry level knowledge on analyzing data and statute interpretation of federal and state laws
• Be prepared to meet with the manager/ legal staff to give examination findings
• Be organized and timely with the submission reports and follow-up
• Be self- motivated
• Other responsibilities as they arise.

Minimum Requirements

Working Conditions

Work is usually performed in the offices of the financial institution or securities entity being examined, reviewed, or investigated. Will require travel usually within a defined geographic "district." Travel outside one's district may be required periodically. Work may also be performed in the Department's central office or in one of its field offices.

Probationary Period

This job has an initial and promotional probationary period of 12 months, except as provided in KRS 18A.111.

If you have questions about this advertisement, please contact Jesse Vaughn at jesse.vaughn@ky.gov or 502-782-0055.

An Equal Opportunity Employer M/F/D