Senior Securities Specialist (Investigator)

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 ( & Boards) - Office of Securities Job Class Code: 0888 Grade: 25 Professional/Technical Salary: $56,867.20 - $79,747.20/Annually Location: Gardiner, ME Opening Date: September 27, 2028 Closing Date: October 13, 2028 Currently, this position is not eligible for visa sponsorship or STEM OPT extensions.

Job Description

• 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.

Responsibilities & Skills

• Knowledge of State and federal securities laws and regulations, and investigative policies and procedures.
• Proficiency in Microsoft Word and Excel, cloud-based collaboration platforms, and financial analysis software.
• Strong working relationships with external partners including law enforcement, regulatory agencies, and civic groups that advocate for investors, consumers and older adults.
• Effective communication with colleagues, State officials and the public at large.

Minimum Qualifications

• A seven (7) year combination of education and/or experience providing a knowledge of securities, law, or finance. Equivalent relevant experience may be substituted for education on a year for year basis.

Preferences

• Preference will be given to candidates with financial services or financial regulatory experience, a law degree, or a background conducting investigations.

Benefits of working for the State of Maine

• Work-Life Balance - Rest is essential. Take time for yourself using 13 paid holidays, 12 days of sick leave, and 3+ weeks of vacation leave annually. Vacation leave accrual increases with years of service, and overtime-exempt employees receive personal leave.
• Health Insurance Coverage - The State of Maine pays 85%-100% of employee-only premiums ($11,857.68-$13,950.24 annual value), depending on salary. Use this chart to find the premium costs for you and your family, including the percentage of dependent coverage paid by the State.
• Health Insurance Premium Credit - Participation decreases employee-only premiums by 5%. Visit the Office of Employee Health and Wellness for more information about program requirements.
• Dental Insurance - The State of Maine pays 100% of employee-only dental premiums ($365.28 annual value).
• Retirement Plan - The State of Maine contributes 14.06% of pay to the Maine Public Employees Retirement System (MainePERS), on behalf of the employee.
• Gym Membership Reimbursement - Improve overall health with regular exercise and receive up to $40 per month to offset this expense.
• Health and Dependent Care Flexible Spending Accounts - Set aside money pre-tax to help pay for out-of-pocket health care expenses and/or daycare expenses.
• Public Service Student Loan Forgiveness - The State of Maine is a qualified employer for this federal program. For more information, visit the Federal Student Aid office.
• Living Resources Program - Navigate challenging work and life situations with our employee assistance program.
• Parental leave is one of the most important benefits for any working parent. All employees who are welcoming a child—including fathers and adoptive parents—receive forty-two (42) consecutive calendar days of fully paid parental leave. Additional, unpaid leave may also be available, under the Family and Medical Leave Act.
• Voluntary Deferred Compensation - Save additional pre-tax funds for retirement in a MaineSaves 457(b) account through payroll deductions.
• State employees are eligible for an extensive and highly competitive benefits package, covering many aspects of wellness. Learn about additional wellness benefits for State employees from the Office of Employee Health and Wellness.
• Note: Benefits may vary somewhat according to specific collective bargaining agreements and are prorated for anything less than full-time.

As an Equal Opportunity employer, Maine State Government embraces a culture of respect and awareness. We are committed to creating a strong sense of belonging for all team members, and our process ensures an inclusive environment to applicants of all backgrounds including diverse race, color, sex, sexual orientation or gender identity, physical or mental disability, religion, age, ancestry, national origin, familial status or genetics. If you’re looking for a great next step, and want to feel good about what you do, we’d love to hear from you.

Please note reasonable accommodations are provided to qualified individuals with disabilities upon request.

Contact: Questions about this position should be directed to Parker Ferland at [e-mail] or [phone].

About Us

Join Maine State Government and Make a Difference in Your Community. If you're looking for a fulfilling career that allows you to serve the public and make a difference, consider working with Maine State Government! Our departments boast an array of professions, including attorneys, biologists, correctional officers, equipment operators, engineers, human resources professionals, information technology experts, law enforcement officers, nurses, park rangers, social workers, and transportation workers. With more than 100 agencies, boards, and offices, Maine State Government is the perfect place to explore various industries and interests. Whether you're interested in finance or forestry, there's an opportunity for you to help make Maine an even better place to live.