Financial Examiner V
Classification Number: 1108
Starting Wage: $7,333.34/Month
Opening Date: 11/14/22
Closing Date: Until filled
Agency: STATE SECURITIES BOARD
Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 8700 N. 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
Will assist in the supervision of personnel in the Dallas 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 Dallas 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 Dallas/Ft. 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):
At least ten (10) years of professional experience in the securities industry in conducting inspections, investigations, and/or compliance reviews of investment advisers, broker/dealer firms or agents. Graduation from an accredited four-year college or university with major course work in accounting, business, finance, or a combination thereof. Strong writing skills required. Must have a reliable vehicle.
PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:
Leadership experience and/or an advanced business degree preferred. Substantial experience in securities regulation and 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 https://www.ssb.texas.gov. The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at email@example.com. 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.
Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.