Job Posting 13-23

Financial Examiner V

Classification Number: 1108

Starting Wage: $8,333.34/Month
Opening Date: 5/22/23
Closing Date: Until filled

Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 208 E. 10th Street, 5th Floor, Austin, TX 78701

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

FLSA Exempt: Yes
Travel Required: Yes, up to 50%
Texas Drivers License Required: Yes


Will assist in the supervision of personnel in the Austin Office of the Inspections and Compliance Division. Assist Director in establishing, implementing, and maintaining procedures designed to coordinate activities within the Division. Assist Director in training of new financial examiners. Assist in supervising the day-to-day operations of the Austin office, which will include handling customer complaints, inquiries from the public and supervision of financial examiners conducting inspections of registered dealers and investment advisers throughout the state of Texas. Worth area. Work with the Director to review the inspection findings and assist in the formulation of referrals to the Legal Section of the Inspections and Compliance Division.  Some travel required. Reports to the Director of the Inspections and Compliance Division.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited four-year college or university with major course work in accounting, business, finance, or a combination thereof.  Substantial experience in securities regulation with some experience in inspections and/or investigations required. Strong writing skills required. Must provide own reliable vehicle.


Leadership experience and/or an advanced business degree preferred. Thorough knowledge of state & federal securities law.

HOW TO APPLY (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 your college transcripts, and (4) a writing sample.  Applications and the Supplement form may be downloaded from the Agency website at  The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at  You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327.  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.

PLEASE NOTEAll applications must be complete, including job title, history, dates of employment, name of employer, supervisor’s name and phone number, and a description of duties performed. Failure to submit this information on your application is considered incomplete and may be rejected. Resumes do not take the place of this required information.

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 for Occupational Category - Accounting, Auditing, and Finance (