Securities Examiner – Compliance & Market Integrity (Hybrid)

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

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