Financial Examiner I

Classification Number: 1100

Starting Wage: $3,500.00/Month
Opening Date: 8/16/2019
Closing Date: Until filled

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

Number of Openings: 2
Duration: Regular/Full-time
Hours/Week: 40

FLSA Exempt: Yes
Travel Required: Yes, up to 10%


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.


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.


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 your college transcripts, and (4) a writing sample. Applications and the Supplement form may be downloaded from the Agency 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 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