Senior Securities Investigator & Compliance Analyst

Department of Professional and Financial Regulation; Farmingdale (ME); On-site; USD 57,000 - 80,000; Full time

Benefits offered by this job

Paid holidays

Sick leave

Vacation leave

Health insurance

Retirement plan

Gym membership reimbursement

Flexible spending accounts

Parental leave

Job summary

Department of Professional and Financial Regulation is seeking a Professional/Technical analyst to support the Office of Securities in Gardiner, ME. The role focuses on handling complaints about investments, investigating violations of securities laws, and preparing detailed reports for enforcement actions.

The position requires strong analytical abilities, knowledge of finance and law, and the ability to work with law enforcement and regulatory partners.

Qualifications

• Knowledge of state and federal securities laws and regulations.
• Proficiency with Microsoft Word and Excel and collaboration tools.
• Experience with financial analysis and working with regulators and law enforcement.

Responsibilities

• Help Mainers with complaints or questions about investments or financial professionals.
• Investigate possible securities violations and relevant statutes.
• Analyze complex financial transactions across assets including crypto.
• Prepare investigative summaries and reports and recommend actions.
• Testify in hearings and court proceedings.
• Draft subpoenas, requests, orders and consent agreements.
• Review broker-dealer licenses and investment adviser applications.

Skills

Knowledge of securities laws and regs

Investigative policies and procedures

Proficiency in Word and Excel

Cloud-based collaboration platforms

Financial analysis software

Strong communications with public and/

Education

Seven year education/experience mix in securities, law or finance

Tools

Microsoft Word

Excel

Financial analysis software

Cloud-based collaboration platforms

Job description

Department of Professional and Financial Regulation is seeking a Professional/Technical analyst to support the Office of Securities in Gardiner, ME. The role focuses on handling complaints about investments, investigating violations of securities laws, and preparing detailed reports for enforcement actions.

The position requires strong analytical abilities, knowledge of finance and law, and the ability to work with law enforcement and regulatory partners.