What are the responsibilities and job description for the Securities Examiner III position at State of Vermont?
Overview
As an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner will analyze the firm's books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law. Examinations are conducted both on-site and remotely.
An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. An Examiner must be self-motivated and possess strong time management, organization, critical thinking, and communication skills.
Who May Apply
This position, Securities Examiner III (Job Requisition #55414), is open to all State employees and external applicants.
Please Note: This position is being recruited at multiple levels. If you would like to be considered for more than one level, you MUST apply to the specific Job Requisition.
Level I: 55404
Level II: 55413
Level III: 55414
If you would like more information about this position, please contact Sarah.Heim@vermont.gov
Resumes will not be accepted via e-mail. You must apply online to be considered.
Please note that multiple positions in the same work location may be filled from this job posting.
Environmental Factors
Duties are performed in a hybrid office setting as well as at field examination sites in Vermont and out of state. Occasional out-of-state travel and work outside normal hours may be required. Private means of transportation must be available for travel. There is significant interaction with the personnel of financial services firms, attorneys, accountants, federal and state regulatory organizations, industry representatives and the public sometimes in adversarial situations.
Minimum Qualifications
Licensure as Certified Public Accountant (CPA)
OR
High school diploma or equivalent or higher AND four (4) years or more of professional securities examination experience in a regulatory setting
OR
Eighteen (18) months as Securities Examiner II with satisfactory completion of Department training and performance requirements.
Preferred Qualifications: Professional designation as Certified Fraud Examiner (CFE).
Preferred Qualifications
Professional designation as a CPA or CFE.
Total Compensation
As a State employee you are offered a great career opportunity, but it's more than a paycheck. The State's total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including:
Equal Opportunity Employer The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status. The State's employment decisions are merit-based. Retaliatory adverse employment actions by the State are forbidden.
As an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner will analyze the firm's books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law. Examinations are conducted both on-site and remotely.
An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. An Examiner must be self-motivated and possess strong time management, organization, critical thinking, and communication skills.
Who May Apply
This position, Securities Examiner III (Job Requisition #55414), is open to all State employees and external applicants.
Please Note: This position is being recruited at multiple levels. If you would like to be considered for more than one level, you MUST apply to the specific Job Requisition.
Level I: 55404
Level II: 55413
Level III: 55414
If you would like more information about this position, please contact Sarah.Heim@vermont.gov
Resumes will not be accepted via e-mail. You must apply online to be considered.
Please note that multiple positions in the same work location may be filled from this job posting.
Environmental Factors
Duties are performed in a hybrid office setting as well as at field examination sites in Vermont and out of state. Occasional out-of-state travel and work outside normal hours may be required. Private means of transportation must be available for travel. There is significant interaction with the personnel of financial services firms, attorneys, accountants, federal and state regulatory organizations, industry representatives and the public sometimes in adversarial situations.
Minimum Qualifications
Licensure as Certified Public Accountant (CPA)
OR
High school diploma or equivalent or higher AND four (4) years or more of professional securities examination experience in a regulatory setting
OR
Eighteen (18) months as Securities Examiner II with satisfactory completion of Department training and performance requirements.
Preferred Qualifications: Professional designation as Certified Fraud Examiner (CFE).
Preferred Qualifications
Professional designation as a CPA or CFE.
Total Compensation
As a State employee you are offered a great career opportunity, but it's more than a paycheck. The State's total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including:
- 80% State paid medical premium and a dental plan at no cost for employees and their families
- Work/Life balance: 11 paid holidays each year and a generous leave plan
- State Paid Family and Medical Leave Insurance (FMLI)
- Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan
- Tuition Reimbursement
- Flexible spending healthcare and childcare reimbursement accounts
- Low cost group life insurance
- Incentive-based Wellness Program
- Qualified Employer for Public Service Student Loan Forgiveness Program
Equal Opportunity Employer The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status. The State's employment decisions are merit-based. Retaliatory adverse employment actions by the State are forbidden.