Financial Examiner I

Classification Number: 1100

Starting Wage: $3,500.00/Month
Opening Date: 4/20/2018
Closing Date: When filled

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

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

FLSA Exempt: Yes
Travel Required: Yes, up to 10%
Texas Driver License: Yes


Work will involve the review and analysis of securities offerings as well as applications for registration by broker/dealers, investment advisers, agents and investment adviser representatives to determine compliance with statutes and rules administered by the Texas State Securities Board. The position requires the financial examiner to review financial records and information contained on uniform forms and related documents to determine compliance with applicable regulations. Extensive written and oral communication with attorneys and applicants is required in connection with the staff’s analysis of securities offerings and applicants’ qualifications and business repute. The financial examiner will be expected to work independently and make sound recommendations to his or her supervisors. The financial examiner will be responsible for other work as assigned.

Minimum Qualifications (License, Education, Experience):

Graduation from an accredited college or university with major course work in accounting, business, finance, or a combination thereof.  Individuals with an expected graduation in May 2018 may apply. Strong interpersonal and writing skills required.

Preferred Qualifications: 

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 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 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 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