Securities Examiner

State of Maine; Gardiner (ME); Hybrid; USD 52,000 - 74,000; Full time

Job summary

The State of Maine Office of Securities is seeking a Senior Securities Examiner to perform examinations of investment advisers, broker-dealers and their representatives. You will review licensing applications for compliance and regulatory standards, helping to prevent fraudulent and unethical practices in the securities industry.

The role supports a collaborative, team-oriented environment with a hybrid work schedule after training, offering strong training opportunities, benefits, and work/life

Qualifications

• Detail-oriented team player with strong communication skills.
• Strong analytical thinking and careful attention to licencing details.
• Ability to collaborate with regulated firms and professionals.

Responsibilities

• Conduct examinations of investment advisers, broker-dealers and their representatives.
• Review licensing applications for compliance and regulatory standards.
• Help prevent fraudulent, deceptive and unethical practices in the securities industry.
• Promote healthy capital markets through diligent oversight.

Skills

Detail-oriented

Team player

Strong communication skills

Analytical thinking

Job description

Protect Maine investors and help financial firms and professionals serve their clients ethically and in compliance with applicable laws and regulations. The Senior Securities Examiner position with the Maine Office of Securities conducts examinations of and reviews licensing applications from investment advisers, broker-dealers and their representatives.

If you are a detail-oriented team player with strong communication skills, join our team to help prevent fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets.

The Office is an agency within the Department of Professional and Financial Regulation. We offer a collaborative and supportive workplace with excellent training opportunities, benefits and work/life balance. A hybrid work schedule is available after the initial training period. Salary: $51,688.00-$74,467.20/Annually