Financial Examiner IV
Classification Number: 1106
Starting Wage: $6,250.00/Month
Opening Date: 8/7/2023
Closing Date: Until filled
Agency: STATE SECURITIES BOARD
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
FLSA Exempt: Yes
Travel Required: Yes, up to 50%
Texas Drivers License Required: 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):
At least six (6) years of professional experience in the securities industry in conducting inspections, investigations, and/or compliance reviews of investment advisers, broker/dealer firms and agents. 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.
PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:
Considerable experience in securities regulation or compliance. Thorough knowledge of state and 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 https://www.ssb.texas.gov. The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at firstname.lastname@example.org. 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 NOTE: All 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 information is at http://www.hr.sao.texas.gov/Compensation/MilitaryCrosswalk/MOSC_AccountingAuditingandFinance.pdf
THE STATE SECURITIES BOARD IS AN EQUAL OPPORTUNITY EMPLOYER