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Securities Oversight Examiner
2 months ago
Overview of the Role
The State of Montana is seeking a dedicated professional to join our team as a Securities Financial Examiner. This position plays a crucial role in ensuring the integrity of the financial markets by safeguarding consumers and investors from fraudulent activities within the securities industry.
About the Agency
The Montana Department of Commerce is committed to fostering a secure and transparent marketplace. Our mission encompasses educating the public, enforcing regulations, and maintaining a fair environment for all participants in the financial sector.
Key Responsibilities
- Conduct thorough examinations of registered broker-dealer and investment adviser firms to assess their financial health and compliance with applicable laws.
- Investigate allegations of securities fraud and violations of the Montana Securities Act.
- Provide educational resources to consumers and investors to promote informed decision-making.
- Collaborate with other regulatory bodies to ensure uniformity and adherence to industry standards.
- Analyze financial statements and records to identify discrepancies and ensure compliance with regulatory requirements.
What We Offer
We provide a supportive work environment that values professional growth and development. Our employees enjoy a range of benefits, including:
- Competitive salary and comprehensive benefits package.
- Work-life balance initiatives.
- Medical, dental, and vision insurance.
- Retirement savings plans.
- Generous paid time off, including vacation and holidays.
- Access to an Employee Assistance Program.
Qualifications
The ideal candidate will possess:
- A Bachelor's degree in Accounting, Finance, Business, or a related field.
- A minimum of three years of experience in financial securities or investigative roles.
- Strong analytical skills and the ability to interpret complex financial data.
- Excellent communication skills and the ability to work collaboratively with diverse stakeholders.
Application Process
Interested candidates are encouraged to submit their application materials, including a cover letter, resume, and professional references. All submissions should be made electronically.
We look forward to welcoming a new member to our team who is passionate about protecting the interests of Montana consumers and enhancing the integrity of our financial markets.
