Compliance Examiner 1: Non-Depository & Securities (Hybrid)

Commonwealth-of-Pennsylvania; Harrisburg (Dauphin County); Hybrid; USD 55,000 - 75,000; Full time

Benefits offered by this job

Tuition reimbursement

On-the-job training

Professional development

Networking opportunities

Stable and supportive work environment

Job summary

The Commonwealth of Pennsylvania’s Department of Banking and Securities seeks a Non-Depository and Securities Compliance Examiner 1 to strengthen financial integrity across the Commonwealth. You will perform essential compliance reviews, investigate potential issues, and help enforce relevant laws and regulations.

This full-time role includes on-the-job training, tuition reimbursement, and opportunities for professional development as you build a foundation for future growth in financial

Qualifications

• Bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field
• Equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field
• Applicants may be considered to meet the educational requirements if within 3 months of graduating

Responsibilities

• Document Review: Examine records, statements, and materials to identify issues or violations
• Issue Investigation: Research situations to understand concerns and gather facts
• Law Assessment: Assess whether laws or regulations may have been violated and suggest corrective actions
• Financial Analysis: Review financial statements for compliance with net worth requirements
• Unlicensed Activity: Search for unlicensed activity using online tools and report findings
• Communication Logs: Update logs and case notes to support documentation

Skills

Regulatory compliance

Financial analysis

Investigation

Legal research

Documentation

Communication

Attention to detail

Education

Bachelor's degree in accounting/finance/economics

Job description

The Commonwealth of Pennsylvania’s Department of Banking and Securities seeks a Non-Depository and Securities Compliance Examiner 1 to strengthen financial integrity across the Commonwealth. You will perform essential compliance reviews, investigate potential issues, and help enforce relevant laws and regulations.

This full-time role includes on-the-job training, tuition reimbursement, and opportunities for professional development as you build a foundation for future growth in financial