Senior Securities Compliance Officer

2 weeks ago

Houston, Texas, United States State of Hawaii Full time
Recruitment Number

Salary:
$5,258 to $6,399 per month (SR-22, Step D to I)

Note:
Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors. This continuous recruitment may be closed at any time.

The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.

Independently evaluates and scrutinizes applications and submissions for the registration of securities offerings, broker-dealers, salespersons, investment advisers, and franchises. Conducts thorough audits and assessments of broker-dealers and investment advisers. Provides final recommendations on applications that are complete and devoid of legal complications.

For more intricate applications and examinations that may involve legal interpretation or questionable financial status, the role entails performing preliminary evaluations and recommendations, as well as assisting supervisors in discussions with applicants and their legal representatives regarding compliance with statutory and regulatory requirements.

Minimum Qualifications:

Legal Authorization to Work Requirement:

The State of Hawaii mandates that all individuals seeking employment with the government must be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.


Basic Education Requirement:

A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.


Specialized Experience:

A minimum of two and a half (2 1⁄2) years of progressively responsible professional experience in business analysis, management, program administration, or other analytical roles demonstrating knowledge of laws, rules, and regulations related to securities sales; and the operational practices of broker-dealers and investment advisers.

This experience must illustrate the ability to interpret, explain, and apply established rules, regulations, procedures, policies, and other criteria, as well as the capacity to comprehend accounting and financial reports.

Examples of Qualifying Experience:
Professional experience in reviewing, analyzing, or preparing securities offerings;
Professional auditing or accounting experience with a firm specializing in the sale of securities;
Professional experience in investigating and/or prosecuting securities violations.

Prerequisite Knowledge and Abilities Required:

In addition to the knowledge required at the III level, comprehensive knowledge of laws, rules, and regulations governing the registration of securities offerings, as well as the operational requirements of broker-dealers and investment advisers; characteristics of various types of securities and their associated risk factors; and sound investment principles.

Applicants must possess the ability to read, understand, and apply complex written material, including federal laws, regulations, and State of Hawaii rules; review and evaluate securities to ensure compliance with legal requirements; analyze business records and financial documents; communicate effectively both orally and in writing; and interact proficiently with a diverse range of individuals and groups.


Substitutions Allowed:
Relevant substitutions as described in the Minimum Qualification Requirements will apply.
The information provided above represents a summary of the complete Minimum Qualification Requirements (MQRs). To view the MQRs in their entirety, please refer to the appropriate resources.

The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities.

If you require reasonable accommodations in completing an application or participating in the selection process, please seek assistance.

PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM

The PSLF Program is a federal initiative designed to encourage individuals to work in public service by forgiving the balance of their federal student loans. To qualify, individuals must have made 120 qualifying payments while employed by a qualifying employer.



For more information, please click:

ELECTRONIC NOTIFICATION TO APPLICANTS

The Department of Human Resources Development (HRD) will utilize electronic mail (email) to notify applicants of important information regarding the status and processing of their applications as part of our ongoing efforts to enhance operational efficiency and minimize delays.

Please ensure that the email address and contact information you provide is current and readily accessible. We will not be responsible for any issues arising from failure to receive emails or check your inbox in a timely manner.


TESTING INFORMATION

The examination for this recruitment will be conducted on an unassembled basis, where the examination score is based on an evaluation and rating of your education and experience. It is crucial that your employment application provides a clear and detailed description of the duties and responsibilities of each position you held.

In-person interviews and/or further testing may be required at the discretion of the hiring agency. Applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person at their own expense in this required phase of the selection process.

Applicants are encouraged to submit their applications as soon as possible. The referral of qualified applicants may be based upon various factors, including the date of receipt of the application.

For further information about Equal Employment Opportunity, the Merit Civil Service System, Citizenship and other requirements, Reasonable Accommodation, Veterans Preference, Examination Requirements, and the State Recruiting Office's Levels of Review, please refer to the appropriate resources.

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