Financial Examiner I CLASSIFICATION NUMBER: 1100
AGENCY: State Securities Board
MAILING ADDRESS: P.O. Box 13167, Austin, Texas ZIP CODE: 78711-3167
WORK LOCATION ADDRESS: 1919 N. Loop West, Suite 300, Houston, TX 77008-1366
NUMBER OF OPENINGS: 1 DURATION: Regular
FLSA EXEMPT: Yes
TRAVEL REQUIRED: Yes, up to 50% Texas Driver License: yes
Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include: analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board; review of filings made by registered dealers/investment advisers; investigation of complaints filed against registered dealers/investment advisers; and related work as assigned by the Director of the Inspections and Compliance Division.
MINIMUM QUALIFICATIONS (License, Education, Experience):
Graduation from an accredited college or university with major course work in accounting, business, finance, or a combination thereof. Strong interpersonal and writing skills required. Must have reliable transportation. Veterans, Reservist, or Guardsmen with an MOS or additional duties that fall in the fields of 36, 36A, 36B, LS, 310X, 651X, 751X, SK, 420, 020, 31, F&S, FIN10, 34, 3402, 3404, 3408, 6F, 6F0X1, 65, 65FX, 65WX, or other related fields pertaining to the minimum experience requirements may meet the minimum qualifications for this position. Military Crosswalk information can be found at www.hr.sao.state.tx.us/Compensation/MilitaryCrosswalk/MOSC_Legal.pdf
Experience in securities regulation or compliance. Thorough knowledge of state and federal securities law.
REMARKS (Application procedure, Special requirements):
To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board "Supplement To Application For Employment," (3) a copy of college transcripts, and (4) a writing sample. Applications and supplement may be obtained at 208 E. 10th Street, 5th Floor, Austin, Texas 78701, requested by calling 512-305-8300, or downloaded from website at http://www.ssb.texas.gov. Completed applications, along with the supplement, transcripts, and writing sample should be sent to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167; faxed to 512-305-8327; or emailed to firstname.lastname@example.org . Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only. EOE.