FINANCIAL EXAMINER I (posting #2-27) – 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

FINANCIAL EXAMINER I (posting #2-27) – Austin

Oct 21, 2026

Texas State Securities Board

JOB DESCRIPTION:

The Financial Examiner I will work in the Austin office of the Inspections and Compliance Division of the Texas State Securities Board. Performs on-site inspections of registered dealers/investment advisers as part of a team to ensure compliance with the provisions of the Texas Securities Act, including conducting in-person interviews and engaging in other communications with firm principals. Job duties include collection and analysis of documents and financial records obtained from inspections and documentation of such analysis and findings to determine compliance with the statutes and rules administered by the Texas State Securities Board; telephone and other written communications with firms, including sending and receiving both initial and follow-up letters concerning deficiencies and other inspections findings, and required actions to correct deficiencies until corrections are made and inspections are closed; review of filings made by registered dealers/investment advisers; incoming and outgoing telephone and other written communications with the public, witnesses, and complainants; investigation of complaints filed against registered dealers/investment advisers; and related work as assigned by the Director of the Inspections and Compliance Division.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited four-year college or university with major course work in accounting, business, finance, or a combination thereof. Demonstrates clear and effective oral and written communications skills. Must have reliable transportation.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

Experience in securities regulation or compliance. Thorough knowledge of state and federal securities law.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.

Military Crosswalk for Occupational Category – Program Management

THE SSB IS AN EQUAL OPPORTUNITY EMPLOYER