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ACOM SECURITIES DEPUTY COMMISSIONER

The Securities Deputy Commissioner is responsible for directing, coordinating, and managing the Investigation, Examination, Registration, and Administration Sections of the Arkansas Securities Department. This

Class Code:

N137N

Job Grade:

GS14

Special Job Requirements:

0

Typical Functions:

Directs agency activities through section supervisors by interviewing, selecting, and training new employees, establishing work schedules, monitoring the work flow, and evaluating the performance of incumbents. Provides direction to supervisory staff in resolving problems, interpreting laws, and assisting with accounting procedures. Develops goals, objectives, and methods and procedures for the investigation, examination, and registration staff. Develops and implements policies and procedures applicable to the operation of the department. Prepares written reports concerning agency fiscal matters and makes recommendations to the Commissioner. Coordinates the work of the Investigation and Examination Sections by reviewing the scheduling of examinations, determining violations of securities laws, and developing plans to pursue more extensive examinations of alleged violations. Consults with the legal section concerning violations of statutes and rules found during examinations, investigations and registration functions of the department and determines if a complaint should be filed. Directs the operating and biennial budgets of the department by providing instructions and reviewing budget requests of the supervisors, monitors the financial status of the department, approves expenditures, and identifies program, staffing and facility budgetary needs. Prepares the Comprehensive Annual Financial Report for the Department. Performs oversight supervision of the daily operation of the local area network and database administration. Resolves technical problems of the network and other information technology matters for the department. Prepares the information technology plan to ensure compliance with state policies. Serves as the information technology liaison for the Department. Serves as the Disaster and Continuity of Operations Program Coordinator. Performs other duties as assigned.

Knowledge, Abilities, and Skills:

Knowledge of principles of accounting, financial auditing, human resource, and organizational management procedures. Knowledge of the statutes and rules administered by the Department. Knowledge of the following software: AASIS Financial and Human Resource modules, PBAS, Microsoft Office, and the STAR database. Knowledge of investigatory methods including the use of WestLaw Locator and national licensing databases, such as FINRA’s Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD) and CSBS’s Nationwide Mortgage Licensing System (NMLS). Knowledge of local area networks, firewalls, network security, database management, and personal computers. Ability to develop, implement, and evaluate the effectiveness of policies, procedures, and short and long-range plans. Ability to develop and implement new procedures and create new reports to adjust to the changing regulatory authority of the Department as well as the ever changing frauds perpetrated upon the citizens of Arkansas. Ability to analyze and evaluate accounting and financial data of regulated financial institutions.

Minimum Qualifications:

The formal education equivalent of a bachelor’s degree in accounting, finance, or a related field; plus eight years of progressively more responsible experience in auditing or accounting, including four years in a managerial capacity.

Required Certificates:

0

Exempt:

E
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