Financial Examiner 2

Securities Division Investigator and Financial ExaminerThe Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for a full-time Securities Division Investigator and Financial Examiner. The CSI is a small, family-friendly agency that values unity, effective working relationships, and mutual respect. We challenge our team members to excel as individuals and as part of a supportive team, offering mentorship, education, training, and opportunities for career growth.We protect all Montanans by regulating two of the state's largest industries - securities and insurance. Our mission is to foster a thriving marketplace through education, common-sense regulation, and equitable enforcement of the law, ensuring swift accountability for fraudsters and justice for victims. The Securities Division is responsible for the following:Educating Montana's consumers and investors on securitiesInvestigating securities and financial fraudEncouraging capital investment in MontanaPromoting uniformity in the market through oversight of the securities industryExamining the securities industry for compliance with the Montana Securities ActAbout this Job Opportunity: We are currently seeking a Securities Division Investigator and Financial Examiner. This position supports the agency's mission by conducting:Financial regulatory examinations of Montana-registered broker-dealer and investment adviser firms to analyze the financial condition of the firms, ensuring compliance with state and federal securities regulatory requirements, and helping to establish a well-regulated securities industry in Montana that encourages capital investment.Investigations into allegations of securities fraud or violations of the Montana Securities Act.To be successful in this position, you must exhibit the following knowledge, skills, and abilities:Knowledge of the concepts and theories of law enforcement; criminal investigations; ability to develop innovative approaches to investigations; conduct research and analysis; exercise wide latitude of professional independent judgment and decisions; and act persuasively in reviewing evidence and examination work papers to determine whether they satisfy the requirements governed by law.Skill in establishing and implementing examination procedures, work methods, and priorities; reviewing complex financial data and material; writing/editing skills to write and review comprehensive examination reports.Experience in database applications and Microsoft Office software, including Word, Excel, PowerPoint, Teams, and Outlook.Ability to analyze financial statements of broker-dealer and investment adviser firms.Ability to use sound judgement, examine technical data, and identify discrepancies.Strong team player with the ability to establish and maintain effective working relationships with other employees, the securities industry, and the public.Strong communication skills are essential, along with the ability to work efficiently and productively with little to no supervision.Ideal Candidate Profile and Competencies:Knowledge of the Montana Securities Act and promulgated administrative rules there under; the federal Securities and Exchange Acts of 1933 and 1934; Investment Advisors Act of 1940; Investment Company Act of 1940; applicable Financial Industry Regulatory Authority and Securities and Exchange Commission regulations and laws; books and records requirements for broker-dealer and investment advisor firms; and the accounting theories, GAAP, and other procedures established for securities firms.Knowledge of economic and accounting practices, examining and auditing techniques, and analysis of financial data.Knowledge of blockchain technology and analytics, including digital assets, cryptocurrencies, tokens, etc.Minimum Educational and Experience Requirement:Bachelor's degree in Accounting, Business, Finance, Criminal Justice, or related fieldThree (3) years of Financial Securities-related or Investigative ExperienceOther combinations of education and experience may be considered on a case-by-case basis.How to apply?Special Instructions: If you have the qualifications and an interest in protecting Montana consumers, please submit the following:Cover LetterResumeCollege TranscriptsMinimum of Two Professional ReferencesWriting SampleNote, when uploading and submitting your application materials, please mark your attachments as "relevant" or we will be unable to view them. Applications missing the requested documents will be considered incomplete and may not progress further in the process. Only electronic materials will be accepted. If you need assistance or accommodation, please contact Human Resources. All application materials are subject to review and verification. CSI will invite a limited number of applicants to a minimum of one structured interview. The successful applicant will be subject to a successful reference and criminal history background check.Benefits: Your service is rewarded with competitive compensation and generous benefits.Work/life balanceMedical, dental, and vision coverageRetirement plansGenerous paid vacation, sick leave, and holidaysPre-tax flexible spending accountsA vibrant Employee Assistance ProgramState of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness. Look here to learn more and understand whether or not you may qualify.Additional benefit package information is available here. The State of Montana has a decentralized human resources (HR) system. Each agency is responsible for its own recruitment and selection. Anyone who requires a reasonable accommodation during the application or hiring process should contact the agency's HR staff, as identified on the job listing, or by dialing the Montana Relay at 711. Montana Job Service Offices also offer services, including assistance with submitting an online application. State government does not discriminate based on race, color, national origin, religion, sex, sexual orientation, gender identity or expression, pregnancy, childbirth or medical conditions related to pregnancy or childbirth, age, physical or mental disability, genetic information, marital status, creed, political beliefs or affiliation, veteran status, military service, retaliation, or any other factor not related to merit and qualifications of an employee or applicant.Title: Financial Examiner 2Location: HelenaRequisition ID: 25142967