Job Description

Overview

Examination, evaluation, and advisory work involving the financial analysis of investment advisor and broker-dealer firms for financial stability and adherence to the Vermont Uniform Securities Act and Vermont Regulations of the Department of Financial Regulation, Securities Division ("Division"). Will investigate complaints and reported misconduct by industry representatives, including, performing targeted investor public outreach as required. Work is performed with independence under the supervision of the Director of Examination and Enforcement or the Securities Deputy Commissioner.

Who May Apply

This position, Securities Examiner III (Job Requisition #47665), is open to all State employees and external applicants.

Please Note: This position is being recruited at multiple levels. If you would like to be considered for more than one level, you MUST apply to the specific Job Requisition.

Level II: 47701

Level II: 47665

If you would like more information about this position, please contact .

Resumes will not be accepted via e-mail. You must apply online to be considered.

Please note that multiple positions in the same work location may be filled from this job posting.

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Environmental Factors

Duties are performed in a hybrid office setting as well as at field examination sites in Vermont and out of state. Occasional out-of-state travel and work outside normal hours may be required. Private means of transportation must be available for travel. There is significant interaction with the personnel of financial services firms, attorneys, accountants, federal and state regulatory organizations, industry representatives and the public sometimes in adversarial situations.

Minimum Qualifications

Graduate degree in finance, accounting, or business administration or related field AND two (2) or more years of experience in accounting, auditing, or examination in the financial services field.

OR

Bachelor\'s degree in business administration, accounting, finance, business statistics, actuarial science, investment and securities, or a related field involving the study of the analysis of finance in a business setting AND four (4) years or more of experience with a financial services firm or accounting firm with experience in financial services regulatory legal work.

OR

Eighteen months as Securities Examiner II with satisfactory completion of Department training and performance requirements.

Preferred Qualifications

Professional designation as a CPA or CFE.

Total Compensation

As a State employee you are offered a great career opportunity, but it\'s more than a paycheck. The State\'s total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including:

• 80% State paid medical premium
• Dental Plan at no cost for employees and their families
• Flexible Spending healthcare and childcare reimbursement accounts
• Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan
• Work/Life balance: 11 paid holidays each year and a generous leave plan; many jobs also allow for a flexible schedule
• Low cost group life insurance
• Tuition Reimbursement
• Incentive-based Wellness Program
• Qualified Employer for Public Service Student Loan Forgiveness Program

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Equal Opportunity Employer

The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status. The State\'s employment decisions are merit-based. Retaliatory adverse employment actions by the State are forbidden.

State of Vermont