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The Securities Examiner Supervisor is responsible for supervising the review and approval of filings and licensee applications for compliance with regulatory requirements. The Securities

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Special Job Requirements:

Travel for job-related responsibilities is necessary. Required to attend specialized training provided by North American Securities Administrators Association (NASAA), Conference of State Banking Supervisors (CSBS), or American Association of Residential

Typical Functions:

Directs the work of a staff of securities examiners and support staff by interviewing, recommending for hire, providing training, establishing the examination schedules, assigning cases, monitoring the work flow, and evaluating the performance of incumbents. Supervises examiners that perform on-site examinations of registered and/or licensed entities and persons to test solvency, record keeping, and sales practices for conformance to applicable statutes and rules. Reviews reports written by examiners to ensure findings and violations are accurately and properly documented. Supervises examiners that perform investigations of complaints, inquiries and suspected violations of the appropriate statutes and rules. Analyzes account statements, bank records and other documents to determine possible violations of the appropriate statutes and rules. Monitors and reviews the work of examiners involved in investigations. Reviews and prepares written case summaries, assists in preparation of cases, and may appear as an expert witness during administrative hearings or court proceedings. Supervises staff that is responsible for reviewing applications from broker-dealers, agents, investment advisers, and their representatives, mortgage companies, loan officers and other regulated entities, to determine compliance with applicable statutes and rules. Develops goals and objectives for examination, registration, and administrative support staff in support of the overall Securities Departments mission. Develops methods and procedures for the implementation of the examinations. Coordinates investigations and examinations with other state regulatory agencies, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), Conference of State Banking Supervisors (CSBS), American Association of Residential Mortgage Regulators (AARMR) and Money Transmitter Regulators Association (MTRA). Attends meetings with representatives of FINRA, SEC, CSBS, AARMR, and MTRA to discuss ongoing cases and new developments in regulated industries. Utilizes the department database systems to track filings, input records, and provide input on the development and improvement of the database to administration. Monitors, provides, and maintains data in national databases such as FINRA’s Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD), and CSBS’s Nationwide Mortgage Licensing System (NMLS). Performs other duties as assigned.

Knowledge, Abilities, and Skills:

Knowledge of principles of accounting and financial auditing procedures. Knowledge of the statutes and rules administered by the Securities Department. Ability to supervise and coordinate the workload of examiners and support staff. Ability to develop and implement new procedures and reports, according to the regulatory authority of the Securities Department. Ability to analyze and evaluate accounting and financial data of regulated financial institutions. Ability to conduct financial examinations and determine compliance with applicable statutes and rules.

Minimum Qualifications:

The formal education equivalent of a bachelor’s degree in accounting, finance, or a related field; plus five years of experience in auditing, accounting, securities, or related field to the securities or financial industry regulation. Additional requirements determined by the agency for recruiting purposes require review and approval by the Office of Personnel Management. OTHER JOB RELATED EDUCATION AND/OR EXPERIENCE MAY BE SUBSTITUTED FOR ALL OR PART OF THESE BASIC REQUIREMENTS, EXCEPT FOR CERTIFICATION OR LICENSURE REQUIREMENTS, UPON APPROVAL OF THE QUALIFICATIONS REVIEW COMMITTEE.

Required Certificates:



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