Auditor Intermediate

Minnesota Direct Care and Treatment; Saint-Paul; Hybrid; CAD 82,000 - 120,000; Full time

Benefits offered by this job

Paid vacation and sick leave

12 paid holidays each year

Health insurance plans

Job summary

The State of Minnesota is seeking an Auditor Intermediate to join the FI Securities Exams team in St. Paul. The position is full-time with a hybrid work schedule, offering up to 50% telework based on business needs.

The role involves auditing state registered investment advisers and broker-dealers, coordinating audits, and preparing reports. Minimum qualifications include at least one year of experience in audit, risk, or compliance within financial services, plus strong communication and

Qualifications

• One year of experience performing analysis, exercising judgment, and relying on knowledge in audit, risk or compliance within the financial services industry.
• Experience managing projects, tasks, timelines, and schedules with minimal supervision while meeting deadlines and communicating effectively with leadership.
• Demonstrated ability to communicate complicated information effectively.
• Strong analytical skills evaluating data.
• Effective written and verbal communication skills.

Responsibilities

• Coordinate and facilitate the audit process for state registered investment advisers and broker-dealers to ensure adherence to laws and regulations.
• Identify compliance issues or potential risks and contribute to the preparation of audit reports and the maintenance of audit records.
• Review and analyze social media, web presence and available records and present identified risks.

Skills

Audit

Risk assessment

Compliance

Project management

Communication

Job description

• Telework Eligible: Yes

Working Title & Job Class: Auditor Intermediate

Agency: Commerce Department

• Job ID: 97231
• Location: St. Paul
• Telework Eligible: Yes
• Full/Part Time: Full-Time
• Regular/Temporary: Unlimited
• Who May Apply: Open to all qualified job seekers
• Date Posted: 09/24/2026
• Closing Date: 10/07/2026
• Hiring Agency/Seniority Unit: Commerce Dept / Commerce-MAPE
• Division/Unit: FI Securities Exams
• Work Shift/Work Hours: Day Shift
• Days of Work: Monday - Friday
• Travel Required: Yes - Up to 10% of the time
• Salary Range: $27.83 - $40.63 / hourly; $58,109 - $84,835 / annually
• Classified Status: Classified
• Bargaining Unit/Union: 214 - MN Assoc of Professional Empl/MAPE
• FLSA Status: Nonexempt
• Designated in Connect 700 Program for Applicants with Disabilities: Yes

The work you'll do is more than just a job.

At the State of Minnesota, employees play a critical role in developing policies, providing essential services, and working to improve the well-being and quality of life for all Minnesotans. The State of Minnesota is committed to equity and inclusion, and invests in employees by providing benefits, support resources, and training and development opportunities.

Hybrid work schedule available, up to 50% telework depending on business needs. Telework can be outside of the state of Minnesota if the candidate lives in a state bordering Minnesota and lives 50 miles or less from the primary work location. Primary work location will be the Golden Rule Building in St. Paul.

Internal candidates should contact Human Resources with questions.

The Auditor Intermediate plays a crucial role in auditing state registered investment advisers and broker dealers to ensure adherence to relevant laws and regulations. This position involves coordinating and facilitating the audit process. Working alongside a team of Auditors, the Auditor Intermediate helps identify compliance issues or potential risks and contributes to the preparation of audit reports and the maintenance of audit records. This includes reviewing and analyzing social media, web presence and available records and presenting identified risks. Strong analytical abilities, attention to detail, and effective interpersonal skills are essential for this position.

Minimum Qualifications

One (1) year of experience performing analysis, exercising judgment, and relying on knowledge in audit, risk or compliance within the financial services industry. Financial services industry includes organizations that provide financial products or services, such as banks, investment advisers, broker-dealers, investment companies, credit unions, and related financial institutions.

• Experience managing projects, tasks, timelines, and schedules with minimal supervision while meeting deadlines and communicating effectively with leadership.
• Demonstrated ability to communicate complicated information effectively.
• Strong analytical skills evaluating data.
• Effective written and verbal communication skills.

Preferred Qualifications

• Experience as a financial examiner or company coordinator of market conduct examinations.
• Securities-related designations (e.g. CFP, ChFC, CFA, CIC, CLU).
• Previously passed a FINRA agent or principal exam, Uniform Securities Agent State Law Examination, and/or Uniform Combined State Law Examination.

Physical Requirements

Requires occasional moving of articles such as boxes, accounting records, laptop computer, and portable printer.

Additional Requirements

Job offer is contingent upon passing reference checks to verify job-related credentials, a criminal background check and drivers' license check prior to appointment.

Benefits

As an employee, you'll have access to one of the most affordable health insurance plans in Minnesota, along with other benefits to help you and your family be well.

Your Benefits May Include

• Paid vacation and sick leave
• 12 paid holidays each year
• Low-cost medical, dental, vision, and prescription drug plans
• Fertility care, including IVF
• Diabetes care
• Dental and orthodontic care for adults and children
• 6 weeks paid leave for parents of newborn or newly adopted children
• Pension plan that provides income when you retire (after working at least three years)
• Employer paid life insurance to provide support for your family in the event of death
• Short-term and long-term disability insurance that can provide income if you are unable to work due to illness or injury
• Tax-free expense accounts for health, dental, and dependent care
• Resources that provide support and promote physical, emotional, social, and financial well-being

Support To Help You Reach Your Career Goals

• Training, classes, and professional development
• Tuition reimbursement
• Federal Public Service Loan Forgiveness Program (Some positions may qualify for the Public Service Loan Forgiveness Program. For more information, visit the Federal Student Aid website at studentaid.gov)

Employee Assistance Program (EAP) For Work/life Support

• A voluntary confidential program that helps employees and their families with life challenges that may impact overall health, personal well-being, or job performance
• Common sources of stress can be addressed through the EAP: mental health, relationship challenges (personal and work), grief and loss, finances, and legal issues
• Daily Living/Convenience Services: Chore services, home repair, trip planning, child/elder care

Programs, resources and benefits eligibility varies

based on type of employment, agency, funding availability, union/collective bargaining agreement, location, and length of service with the State of Minnesota.

EQUAL OPPORTUNITY EMPLOYERS

Minnesota state agencies are equal opportunity, affirmative action, and veteran-friendly employers.

State agencies are committed to creating a workforce that reflects the diversity of the state and strongly encourages persons of color and Indigenous communities, members of the LGBTQIA2S+ community, individuals with disabilities, women, and veterans to apply.

The varied experiences and perspectives of employees strengthen the work we do together and our ability to best serve Minnesotans.

All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, national origin, sex (including pregnancy, childbirth, and disabilities related to pregnancy or childbirth), gender identity, gender expression, marital status, familial status, age, sexual orientation, status regarding public assistance, disability, veteran status or activity in a local Human Rights Commission or any other characteristic protected by law.

Applicants With Disabilities

Minnesota state agencies make reasonable accommodations to their employees and applicants with disabilities.

If you have a disability and need assistance in searching or applying for jobs with the State of Minnesota, call the Careers Help Desk at 651-259-3637 or email [e-mail] and let us know the support you need.

Contact

If you have questions about this position, contact Human Resources at [e-mail] or 651-539-1506.