Senior Securities Specialist (Investigator)

MaineGuide; Gardiner (ME); Hybrid; USD 57,000 - 80,000; Full time

Benefits offered by this job

Hybrid work after training

Training opportunities

Work-life balance

Health benefits

Job summary

The Maine Office of Securities, part of the Department of Professional and Financial Regulation, is seeking a Senior Securities Specialist (Investigator) in Gardiner, ME. You will help Mainers with complaints about investments and investigate possible securities violations.

The role requires strong communication, knowledge of securities laws, and the ability to analyze complex transactions. A hybrid work schedule is available after training, with a comprehensive benefits package and training

Qualifications

• 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.

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.

Skills

Investigations

Communication

Financial analysis

Regulatory knowledge

Education

Seven-year education/experience mix

Tools

Microsoft Word

Excel

Cloud platforms

Financial analysis software

Job description

If you are a current State of Maine employee, please submit your application through the internal application process using the Find Jobs report in PRISM. Seasonal employees who do not have PRISM access should apply through the State’s career page and indicate on the application that they have previously worked for the State.

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.

Are you suspicious of ads that promise high returns on risky investments and guarantee against any financial loss? We are too. These ads are always too good to be true, but that doesn’t stop scammers from trying to defraud Maine investors.

If you are a detail-oriented team player with strong communication skills, come join the team at the Maine Office of Securities to help protect Mainers from scams and other deceptive and unethical financial practices.

The Office is an agency within the Department of Professional and Financial Regulation. We offer a collaborative and supportive workplace with excellent training opportunities, benefits and work/life balance. A hybrid work schedule is available after the initial training period.

As a Senior Securities Specialist (“Investigator”), you will:

• 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.

To be successful in the position you must have or be able to develop:

• 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 providinga knowledgeof 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.

Contact Info:

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

Benefits of working for the State of Maine:

No matter where you work across Maine state government, you find employees who embody our state motto—"Dirigo" or "I lead"—as they provide essential services to Mainers every day. We believe in supporting our workforce's health and wellbeing with a valuable total compensation package, including:

• 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.

There's a job and then there's purposeful, transformative work. Our aim is to create a workplace where you can learn, grow, and continuously refine your skills. Applicants demonstrate job requirements in differing ways, and we appreciate that many skills and backgrounds can make people successful in this role.

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.