Financial Compliance Examiner I – On-Site (Austin)

TSABAA; Austin (TX); On-site; USD 55,000 - 75,000; Full time

Job summary

The Texas State Securities Board in Austin seeks a Financial Examiner I to join the Inspections and Compliance Division. You will perform on-site inspections of registered dealers and investment advisers, collect and analyze financial records, and document findings to ensure compliance with the Texas Securities Act.

You will communicate with firm principals, issue deficiency letters, review filings, and assist in investigating complaints.

Qualifications

• Bachelor's degree in accounting, business, or finance.
• Strong oral and written communication skills.
• Reliable transportation.

Responsibilities

• Conduct on-site inspections of registered dealers and investment advisers as part of a team.
• Collect and analyze documents and financial records from inspections and document findings.
• Communicate deficiencies and required actions to firms via letters and calls.
• Review filings made by registered dealers/investment advisers.
• Investigate complaints filed against registered dealers/investment advisers.

Skills

Oral and written communication

Analytical thinking

Education

Bachelor's degree in accounting or finance

Job description

The Texas State Securities Board in Austin seeks a Financial Examiner I to join the Inspections and Compliance Division. You will perform on-site inspections of registered dealers and investment advisers, collect and analyze financial records, and document findings to ensure compliance with the Texas Securities Act.

You will communicate with firm principals, issue deficiency letters, review filings, and assist in investigating complaints.