Financial Examiner I

Classification Number: 1100

Starting Wage: $3,500.00 / Month
Opening Date: 4/15/2019
Closing Date: Until filled

Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 8700 North Stemmons Freeway, Ste. 144, Dallas, TX 75247

Number of Openings: 1
Duration: Full-time
Hours/Week: 40

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.


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 a completed Standard State Application for Employment in only ONE of the following ways:  (1) apply online at, by choosing the option “I’m interested in this job” and clicking save (Preferred Method), (2) faxing to (512) 305-8327, (3) emailing to, or (4) mailing to Texas State Securities Board, Attn: Human Resources, P. O. Box 13167, Austin, Texas 78744-3167.  A State Securities Board “Supplement To Application For Employment”, a copy of your college transcripts, and a writing sample must accompany the application and should be submitted via options 2-4.  Resumes will not be accepted in lieu of a standard state application.  Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only. EOE.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position. Military Crosswalk information can be found at