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Securities Examiner Senior

2 months ago

Lincoln, Nebraska, United States State of Nebraska Full time
Job Summary

We are seeking a highly skilled Securities Examiner Senior to join our team at the State of Nebraska. As a key member of our Securities Bureau, you will be responsible for investigating possible violations of the Securities Act of Nebraska, gathering and analyzing evidence, and recommending enforcement action.

Key Responsibilities
  • Conduct routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska.
  • Analyze financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules.
  • Prepare written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance.
  • Make recommendations about and participate in related enforcement action, including representing the Department as subject matter or evidentiary witness, if necessary.
  • Conduct "for cause" exams of investment advisers and broker-dealers in response to consumer allegations of fraud, conversion of assets, theft, and sales practice violations.
Requirements
  • Bachelor's Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting.
  • At least one year of examination, audit, compliance, or investigative experience.
  • Securities background preferred. Law degree or advanced degree in business, finance, or accounting is preferred but not required.
What We Offer

We offer a comprehensive package of pay, benefits, paid time off, retirement, and professional development opportunities to help you get the most out of your career and life. Your paycheck is just part of your total compensation.

Check out all that the State of Nebraska has to offer. Benefit eligibility may vary by position, agency, and employment status. For more information on benefits, please visit: https://www.nebraska.gov/

The State of Nebraska values our teammates as well as a supportive environment that strives to promote diversity, inclusion, and belonging. We recruit, hire, train, and promote in all job classifications and at all levels without regard to race, color, religion, sex, age, national origin, disability, marital status, or genetics.