Junior Compliance Examiner: Non-Depository and Securities

Commonwealth of Pennsylvania; Pennsylvania; Hybrid; USD 42,000 - 64,000; Full time

Benefits offered by this job

Telework option

Professional development

Job summary

The Commonwealth of Pennsylvania's Department of Banking and Securities is seeking a Non-Depository and Securities Compliance Examiner 1 to support regulatory duties and strengthen financial integrity across the Commonwealth.

You will learn essential compliance tasks, perform document reviews, investigations, and financial analyses, and maintain case logs while growing in a structured training environment.

Qualifications

• Bachelor’s degree including9 credits in accounting, finance, economics, or closely related field.
• Equivalent combination of experience and training including 9 credits in accounting/finance/economics.
• Eligible within 3 months of graduating to meet educational requirements.

Responsibilities

• Document Review: Examine records and materials to identify issues or violations.
• Issue Investigation: Research situations to understand concerns and gather facts.
• Law Assessment: Determine if laws/regulations may have been violated and suggest actions.
• Financial Analysis: Review statements to verify compliance with net worth requirements.
• Unlicensed Activity: Search for unlicensed business activity and report findings.
• Communication Logs: Update logs and case notes for accurate documentation.

Education

Bachelor’s degree with accounting/finance credits

Equivalent combination of experience with 9 accounting/finance credits

Job description

The Commonwealth of Pennsylvania's Department of Banking and Securities is seeking a Non-Depository and Securities Compliance Examiner 1 to support regulatory duties and strengthen financial integrity across the Commonwealth.

You will learn essential compliance tasks, perform document reviews, investigations, and financial analyses, and maintain case logs while growing in a structured training environment.