Securities Examiner II – Compliance & Examinations

State of Tennessee; Nashville (TN); On-site; USD 34,000 - 47,000; Full time

Job summary

State of Tennessee is seeking an intermediate Securities Examiner to review registrations, perform post-registration examinations, and interpret Tennessee Securities Act and NASAA/FINRA rules. Travel within Tennessee may be required for on-site reviews and investigations.

The role involves collaborating with regulators, preparing reports, and assisting in training other examiners while applying solid accounting and legal knowledge to ensure compliance across the securities industry.

Qualifications

• Education or experience: high school graduation with six years of professional experience in accounting, auditing, or financial services.
• Alternative substitution: bachelor’s degree plus two years of related experience in accounting, auditing, or financial services, or compliance.
• One year of full-time professional securities examination experience with the State of Tennessee.
• NSQs: a valid motor vehicle license may be required for employment in some positions.

Responsibilities

• Examines filings for securities offerings, including registration applications, exemption filings, and notice filings to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules.
• Examines applications for industry registrations and exemptions, including broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and issuer-dealers to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules.
• Conducts post-registration examinations to review the books and records of Tennessee based broker-dealers and investment advisers to ensure compliance with the Tennessee Securities Act and Rules.
• Comprehends securities laws and rules and serves as a resource regarding the compliance requirements of the Tennessee Securities Act and Rules, NASAA's EFD, and FINRA's CRD/IARD.
• Refers Tennessee Securities Act and Rules violations and disqualifications to the Director of Registration.
• Assists in training other Securities Examiners.
• Completes monthly and weekly reports providing statistics on filings and examinations.
• Collaborates with other regulators to discuss market and industry trends.

Skills

Critical Thinking

Active Learning and Listening

Time Management

Judgment and Decision Making

Social Perceptiveness

Education

High School Diploma or equivalent

Tools

Laptop/Computer

Office Equipment

Job description

State of Tennessee is seeking an intermediate Securities Examiner to review registrations, perform post-registration examinations, and interpret Tennessee Securities Act and NASAA/FINRA rules. Travel within Tennessee may be required for on-site reviews and investigations.

The role involves collaborating with regulators, preparing reports, and assisting in training other examiners while applying solid accounting and legal knowledge to ensure compliance across the securities industry.