Securities Compliance Supervisor

State of Hawai'i; Hawaii; On-site; USD 75,000 - 91,000; Full time

Benefits offered by this job

Public service loan forgiveness

Job summary

The State of Hawai'i is recruiting for a supervisory role overseeing securities examiners involved in reviewing applications for registrations of securities offerings, broker-dealers, investment advisers and related entities. The position emphasizes ensuring compliance with federal and state securities laws and regulations, and requires significant analytical and supervisory capabilities.

Qualifications include a bachelor’s degree with accounting/auditing credit hours and 3.5+ years of relevant

Qualifications

• Bachelor's degree from a regionally accredited four-year college or university with six (6) semester credits in accounting and/or auditing.
• Three and a half (3 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other analytical work demonstrating knowledge of securities laws, rules and regulations and the operations of broker-dealers, investment advisers and their representatives.
• Examples of qualifying experience include reviewing/analyzing or preparing securities offerings; auditing or accounting experience with a firm that audits broker-dealers; investigation or prosecution of securities violations.

Responsibilities

• Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for registrations related to securities offerings, broker-dealers, investment advisers, franchises, and related entities to ensure compliance with applicable laws and regulations.
• Must be able to plan, supervise and review activities to ensure compliance with statutory and regulatory requirements; analyze problems and interpret securities laws and regulations; implement program objectives, policies and procedures; plan, assign, and evaluate the work of others; maintain effective relationships with regulated businesses and the public.

Skills

Analytical thinking

Regulatory knowledge

Supervisory aptitude

Education

Bachelor's degree

Accounting/auditing credits

Job description

The State of Hawai'i is recruiting for a supervisory role overseeing securities examiners involved in reviewing applications for registrations of securities offerings, broker-dealers, investment advisers and related entities. The position emphasizes ensuring compliance with federal and state securities laws and regulations, and requires significant analytical and supervisory capabilities.

Qualifications include a bachelor’s degree with accounting/auditing credit hours and 3.5+ years of relevant