Lead Securities Examiner & Compliance Supervisor

State of Hawaiʻi; Honolulu (HI); On-site; USD 69,000 - 84,000; Full time

Benefits offered by this job

Paid Holidays

Paid Vacation

Health Insurance

Retirement Plan

Group Life Insurance

Job summary

The State of Hawai'i is seeking a Securities Examiner to plan, supervise and oversee a team of examiners evaluating registrations and compliance with securities laws and regulations. The position requires a bachelor's degree with accounting/auditing credits and substantial specialized experience in business analysis and regulatory work.

Responsibilities include reviewing filings, interpreting rules, and ensuring accuracy of financial documents; preferred applicants have strong reading, writing

Qualifications

• Bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.
• Three and one-half (3 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives.

Responsibilities

• Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors and/or audit broker-dealers, issuers and investment advisers to ensure compliance with applicable statutory and regulatory requirements.

Skills

Supervisory aptitude

Analytical skills

Reading complex material

Communication skills

Education

Bachelor's degree with accounting/auditing credits

Job description

The State of Hawai'i is seeking a Securities Examiner to plan, supervise and oversee a team of examiners evaluating registrations and compliance with securities laws and regulations. The position requires a bachelor's degree with accounting/auditing credits and substantial specialized experience in business analysis and regulatory work.

Responsibilities include reviewing filings, interpreting rules, and ensuring accuracy of financial documents; preferred applicants have strong reading, writing