Securities Financial Examiner

1 month ago

Helena, United States State of Montana Full time
Description:

CSI Overview

We are entrusted with protecting all Montanans from bad actors by regulating two of the state's largest industries - securities and insurance.We strive to foster a thriving Montana industry marketplace through education, common-sense regulation, and equitable enforcement of the law with swift accountability for fraudsters and justice for their victims.

Our Vision

At the CSI, our vision is to safeguard Montana consumers by regulating the insurance and securities industries, investigating fraud, and prosecuting criminals.

Our Mission

Our Mission consists of the following:
  • Informing consumers and industry through education and outreach
  • Providing responsive and meaningful customer service
  • Supporting Montana business by promoting industry innovation and removing unnecessary regulatory roadblocks and red tape
  • Managing State Trust Lands with long-term goals of stewardship for the ongoing benefit of public education.
Why Work with Us?

All of our positions with the agency are located in Helena, Montana.Montana is an all-around great placeWe are centrally located in the heart of Helena and within walking distance of beautiful downtown.With countless outdoor opportunities, great schools, and a small-town atmosphere, Helena is an excellent place to live.You can also learn more about moving to and living in Helena, Montana here.The Montana State Auditor's Office is an equal opportunity employer.

We know you have many employment opportunities available to you.But just as we caught your attention with the appeal of a small-city, mountain life, we will also appeal to you in creating your professional working environment.The CSI is an efficient, highly regarded, professional regulatory agency with responsibility for consumer protection of insurance and securities purchasers.Our success derives from having effective working relationships, built on mutual trust and respect for each other's skills and abilities.We will challenge you to be the best you can be in both your individual competencies and a team-player.We have created an environment for success and will work hard to provide opportunity for you to progress in your career with mentorship, education, training, and certifications.

About this Opportunity

We are currently seeking a candidate to fill the role of a Securities Financial Examiner in our Securities Division.The CSI advocates for the citizens of Montana by ensuring consumers and investors have fair, transparent access to insurance and securities.The Securities Division is responsible for the following:
  • Educating Montana's consumers and investors on securities
  • Investigating securities and financial fraud
  • Encouraging capital investment in Montana
  • Promoting uniformity in the market through oversight of the securities industry
  • Examining the securities industry for compliance with the Montana Securities Act.
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 by helping to establish a well-regulated securities industry in Montana that encourages capital investment.This position will also conduct investigations into allegations of securities fraud or violations of the Montana Securities Act.

Your service is rewarded with competitive compensation and generous benefits.
  • Work/life balance
  • Medical, dental, and vision coverage
  • Retirement plans
  • Generous paid vacation, sick leave, and holidays
  • Pre-tax flexible spending accounts
  • A vibrant Employee Assistance Program
  • State of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness.
Additional benefit package information is available here.

Qualifications

What can you offer us?

To be successful in this position, you must exhibit the following knowledge, skills, and abilities:
  • 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 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.
  • Skilled 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 is essential
  • Ability to use sound judgement, examine technical data, and identify discrepancies.
  • A 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.
Minimum Educational and Experience Requirement
  • Bachelor's degree in Accounting, Business, Finance, Criminal Justice, or related field
  • Three (3) years of Financial Securities-related or Investigative Experience.

*Alternate combinations of Education and Experience may be considered on a case-by-case basis.

How to apply?

Special Instructions:

If you feel you have the qualifications for this position, to include the knowledge, skills, and abilities as described above, and have an interest in protecting Montana Consumers, please submit all of the following with your application materials:
  1. Cover Letter
  2. Resume
  3. College Transcripts
  4. Minimum of Two Professional References

Important Tip:

When uploading and submitting your application materials, please make sure to mark your attachments as "relevant" or we will be unable to view your documents.

Please Note:In order to be considered, all application materials (see items 1-4 above), but be submitted by no later than the closing date/time on this posting.

CSI will invite a limited number of applicants to a minimum of one structed interview.Selectees are subject to successful reference, background, and fingerprint check.

Successful applicant(s) will be subject to criminal history background check.

Only electronic materials will be accepted.If you need assistance or an accommodation, please contact Human Resources.Materials submitted but not requested will not be considered in the selection process.

Applicants claiming employment preference are required to provide proper documentation, i.e. Veteran's Preference (DD214), Documentation from U.S. Veterans Administration certifying service-connected disability or purple heart medal, Disabled (DPHHS Disability Certification) by the closing date.The State of Montana Careers system will generate an email with instructions on how to submit preference documents.

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