Securities Investigator (State Regulator)

State of Maine; United States; Hybrid; USD 57,000 - 80,000; Full time

Benefits offered by this job

Hybrid work schedule

Work-life balance

Health insurance

Job summary

State of Maine’s Department of Professional and Financial Regulation – Office of Securities is hiring a Senior Securities Specialist to investigate and enforce securities laws, assist Maine residents with investment concerns, and analyze complex financial transactions across a broad range of assets.

The role requires knowledge of securities regulations, strong analytical and communication skills, and the ability to testify in hearings.

Responsibilities

• Help Mainers with complaints or questions about their investments or financial professionals.
• Investigate possible violations of state securities laws and other relevant statutes and regulations.
• Analyze complex financial transactions and practices involving a wide range of assets, including stocks, bonds, ETFs and mutual funds, alternative investments, cryptocurrencies and other digital assets.
• Prepare investigative summaries and reports of your findings and recommend enforcement actions.
• Testify in administrative hearings and court proceedings.
• Draft subpoenas and document requests, administrative orders and consent agreements.
• Review license applications from broker-dealer agents and investment adviser representatives.

Job description

State of Maine’s Department of Professional and Financial Regulation – Office of Securities is hiring a Senior Securities Specialist to investigate and enforce securities laws, assist Maine residents with investment concerns, and analyze complex financial transactions across a broad range of assets.

The role requires knowledge of securities regulations, strong analytical and communication skills, and the ability to testify in hearings.