What are the responsibilities and job description for the Compliance Examiner position at Missouri Secretary of State?
Why This Role Matters
As a Compliance Examiner, you will help safeguard Missouri investors and promote fairness and integrity in our financial markets. Your work ensures that investment advisers and broker-dealers operate ethically, responsibly, and in compliance with state and federal laws. You are part detective, part analyst, part educator-and fully dedicated to protecting the public trust.
This position is perfect for someone with roots in central Missouri who is ready to launch their career-and who is willing to relocate to St. Louis once training is complete.
What You'll Do:
- Conduct detailed on-site and remote examinations of Missouri-registered investment advisers (IAs) and broker-dealers (BDs)
- Review and analyze financial records, operational processes, and internal controls
- Identify risks, inconsistencies, and potential compliance issues
- Work closely with Division attorneys to interpret and apply securities laws
- Prepare clear, comprehensive examination reports and deficiency letters
- Serve as a key point of contact between the Division and the financial services industry
- Provide guidance to advisers and firms, helping them operate successfully within Missouri's regulatory framework
- Support continuous improvement efforts by recommending enhancements to examination procedures
- Utilize emerging technologies-including AI-based tools-to strengthen oversight and insight
What We're Looking For:
- Bachelor's degree in Financial Planning (preferred), or Accounting, Finance, Economics, Business Administration, or related field
- 0-5 years of experience in financial services, compliance, or a similar environment
- Strong analytical, critical thinking and problem-solving skills
- Excellent written and verbal communication abilities
- Attention to detail, strong organizational skills and a voracious desire to learn
- Ability to work independently and as part of a collaborative team
- Proficiency in Microsoft Office and basic financial analysis tools
- Eagerness to adopt artificial intelligence tools to increase depth and efficiency
Preferred but not required:
- Advanced degree or industry certifications (e.g., CFA, CFP, SIE, Series 7/63/65/66)
- Experience in financial services, accounting, auditing or regulatory roles
Career Growth & Pathway:
- Training Phase (12–24 months): You'll work in our Jefferson City office, receiving in-depth, hands-on training from experienced examiners and attorneys.
- Career Placement: After successful completion of training, you will transition to the St. Louis Metropolitan Area, where most of Missouri's state-registered investment advisers and broker-dealers are located-setting you up for long-term professional growth and an exciting career trajectory.
- Optional SIE Exam Support: After two years in the role, you'll have the opportunity to prepare for and take the Securities Industry Essentials (SIE) exam with Division support-an excellent credential that strengthens your financial industry knowledge and opens additional career pathways within securities regulation and beyond.
The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.