Financial Examiner VI (Assistant Director)
Classification Number: 1110
Starting Wage: $10,833.34 - $11,864.50/month
Opening Date: 1/3/2025
Closing Date: Until filled
Agency: STATE SECURITIES BOARD
Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 208 East 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 25%
Texas Drivers License Required: Yes
JOB DESCRIPTION:
The Enforcement Division of the Texas State Securities Board is charged with protecting Texans from illegal and fraudulent securities schemes. It is primarily responsible for the detection and prevention of violations of the Securities Act, including fraud committed in connection with the sale of securities, illegal sales of unregistered securities, and sales of securities by unregistered parties. The Assistant Director will report to the Director of Enforcement and assist in matters that relate to the Enforcement Division. Job duties include the following:
- Performing highly advanced legal work under minimal supervision.
- Supervising and training attorneys, financial examiners and other personnel.
- Managing staff investigations and enforcement actions.
- Analyzing complex transactions and financial records.
- Researching applicable legal and factual issues.
- Conducting complex investigations and participating in criminal, civil and administrative proceedings.
- Developing, recommending, and implementing procedures to increase efficiencies.
- Identifying trends in the securities markets, including trends tied to new and emerging technologies, and assessing the impact of said trends on the protection of investors,
- Training enforcement attorneys and financial examiners to adapt to changes in the securities market to ensure they can protect the public from new and evolving types of schemes.
- Drafting investor warnings, press releases, and guidance and engaging in outreach.
The Director of Enforcement may assign other job duties as appropriate.
MINIMUM QUALIFICATIONS (License, Education, Experience):
Graduation from an accredited four-year college or university with major coursework in finance, accounting, economics or a related field. Skilled in the operation of computer systems and associated applications, such as word processing, spreadsheet, and database applications. Experience and education may be substituted for one another. Applicants must reside in Texas.
PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:
Significant experience in investigating complex securities schemes or financial matters that involve the use of social media, internet websites, teleconferencing platforms, video and chat communication applications, digital assets, artificial intelligence and new emerging technologies.
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. The writing sample can be a memo, research paper, thesis, or any sort of original document that demonstrates your ability to write reports. The topic of your sample is not limited to securities; you may use your judgement as to what kind of sample best showcases your abilities. 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 human.resources@ssb.texas.gov. 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, salary, 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.
https://hr.sao.texas.gov/Compensation/MilitaryCrosswalk/MOSC_AccountingAuditingandFinance.pdf