Non-Depository and Securities Compliance Examiner 1

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 POSITION

Join the PA Department of Banking and Securities as a Non-Depository and Securities Compliance Examiner 1 and become part of a team that works to strengthen financial integrity across the Commonwealth. This position assists in identifying and making recommendations to correct deficiencies of non-depository institutions and assists in the enforcement of governing laws, regulations, and policies. If you are interested in building a strong foundation for future growth in financial regulation, this is the opportunity for you!

THE POSITION

Join the PA Department of Banking and Securities as a Non-Depository and Securities Compliance Examiner 1 and become part of a team that works to strengthen financial integrity across the Commonwealth. This position assists in identifying and making recommendations to correct deficiencies of non-depository institutions and assists in the enforcement of governing laws, regulations, and policies. If you are interested in building a strong foundation for future growth in financial regulation, this is the opportunity for you!

DESCRIPTION OF WORK

This position focuses on learning and performing essential compliance review and investigative tasks that support the agency's mission. It involves practical training and supervised assignments that build your understanding of financial laws and regulatory processes. As a Non-Depository and Securities Compliance Examiner 1, you will perform the following duties:

• Document Review: Examine records, statements, and other materials to identify possible issues or violations
• Issue Investigation: Research situations referred by internal offices or external sources to understand concerns and gather facts
• Law Assessment: Assess whether laws or regulations may have been violated and suggest appropriate corrective actions
• Financial Analysis: Review financial statements to check compliance with net worth requirements
• Unlicensed Activity: Search for possible unlicensed business activity using online tools and share findings with supervisors
• Communication Logs: Update logs, case notes, and other tracking tools to support accurate documentation

Why work at DoBS? We place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce. We also offer:

• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• On-the-job training
• Professional development

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with 60-minute lunch.
• Telework: You may have the opportunity to work from home (telework) part-time. In order to telework, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania. If you are unable to telework, you will have the option to report to the headquarters office in Harrisburg. The ability to telework is subject to change at any time. Additional details may be provided during the interview.
• Salary:Most employees will start at the beginning level of the advertised salary.
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

Required Experience, Training & Eligibility

QUALIFICATIONS

Minimum Experience and Training Requirements:

• A bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or
• An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.

Other Requirements:

• You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment.
• You must currently reside in or be willing to relocate to Dauphin, Cumberland, Lebanon, York, Lancaster, or Perry County at the time of hire.
• You must meet the PA residency requirement . For more information on ways to meet PA residency requirements, follow the link and click on Residency.
• You must be able to perform essential job functions.

Veterans:

• Pennsylvania law (51 Pa. C.S. 7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to www.pa.gov/agencies/employment/how-to-apply.html and click on Veterans.

Telecommunications Relay Service (TRS):

• 711 (hearing and speech disabilities or other individuals).

If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

EXAMINATION INFORMATION

• Completing the application, including all supplemental questions, serves as your exam for this position. No additional exam is required at a test center (also referred to as a written exam).
• Your score is based on the detailed information you provide on your application and in response to the supplemental questions.
• Your score is valid for this specific posting only.
• You must provide complete and accurate information or:
• Your score may be lower than deserved.
• You may be disqualified.
• You may only apply/test once for this posting.
• Your results will be provided via email.