SUPERVISING SECURITIES EXAMINER - DOWNTOWN, OAHU

State of Hawai'i; Hawaii; On-site; USD 75,000 - 91,000; Full time

Benefits offered by this job

Public service loan forgiveness

Job summary

The State of Hawai'i is recruiting for a supervisory role overseeing securities examiners involved in reviewing applications for registrations of securities offerings, broker-dealers, investment advisers and related entities. The position emphasizes ensuring compliance with federal and state securities laws and regulations, and requires significant analytical and supervisory capabilities.

Qualifications include a bachelor’s degree with accounting/auditing credit hours and 3.5+ years of relevant

Qualifications

• Bachelor's degree from a regionally accredited four-year college or university with six (6) semester credits in accounting and/or auditing.
• Three and a half (3 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other analytical work demonstrating knowledge of securities laws, rules and regulations and the operations of broker-dealers, investment advisers and their representatives.
• Examples of qualifying experience include reviewing/analyzing or preparing securities offerings; auditing or accounting experience with a firm that audits broker-dealers; investigation or prosecution of securities violations.

Responsibilities

• Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for registrations related to securities offerings, broker-dealers, investment advisers, franchises, and related entities to ensure compliance with applicable laws and regulations.
• Must be able to plan, supervise and review activities to ensure compliance with statutory and regulatory requirements; analyze problems and interpret securities laws and regulations; implement program objectives, policies and procedures; plan, assign, and evaluate the work of others; maintain effective relationships with regulated businesses and the public.

Skills

Analytical thinking

Regulatory knowledge

Supervisory aptitude

Education

Bachelor's degree

Accounting/auditing credits

Job description

Recruitment Number 25-0037

Salary: $6,221 to $7,568 per month (SR-24, Step D to I)

Note: Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.

Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors and/or audit broker-dealers, issuers and investment advisers to ensure compliance with applicable statutory and regulatory requirements.

Legal Authorization to Work Requirement

The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.

Basic Education Requirement

A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.

Specialized Experience

Three and one-half (3 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.

Examples of Qualifying Experience may include, but are not limited to:

• 1) Professional experience in reviewing, analyzing, or preparing securities offerings;
• 2) Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities;
• 3) Professional experience in the investigation and/or prosecution of securities violations.

Prerequisite Knowledge and Abilities Required

In addition to the knowledge required at the IV level, must be able to plan, supervise and review the activities of securities examiners to ensure that work performed is in compliance with applicable statutory and regulatory requirements; analyze problems and seek solutions concerning the application and interpretation of securities laws and regulations; implement program objectives, policies and procedures; plan, assign, review and evaluate the work of others; achieve and maintain effective working relationships with regulated businesses, industry members and members of the public sector.

Applicants must possess the ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups.

Supervisory Aptitude

Demonstration of aptitude or potential for the performance of supervisory duties through successful completion of regular or special assignments which involve some supervisory responsibilities or aspects of supervision, e.g., by serving as a group or team leader, by the completion of training courses in supervision accompanied by application of supervisory skills in work assignments; and/or by favorable appraisals by a supervisor indicating the possession of supervisory potential.

Substitutions Allowed

Relevant substitutions as described in the Minimum Qualification Requirements will apply.

No. 02148:031618:13:JT The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If you require reasonable accommodations in completing an application, any pre-employment testing, or otherwise participating in the selection process, please call 808-587-1111 for assistance.

PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM

The PSLF Program is a federal program that is intended to encourage individuals to work in public service by forgiving the balance of their federal student loans. To qualify, the individual must have made 120 qualifying payments while employed by a qualifying employer. For more information: https://studentaid.ed.gov/sa/repay-loans/forgiveness-cancellation/public-service

ELECTRONIC NOTIFICATION TO APPLICANTS

The Department of Human Resources Development (HRD) will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications as part of our ongoing efforts to increase operational efficiency, promote the conservation of green resources, and minimize delays and costs.

Please ensure that the email address and contact information you provide is current, secure, and readily accessible to you. We will not be responsible in any way if you do not receive our emails or fail to check your email-box in a timely manner. In addition, please be aware that you may no longer receive notification about applications submitted if you choose to disable the Job Application Emails feature in your Account Settings.

TESTING INFORMATION

The examination for this recruitment will be conducted on an unassembled basis where the examination score is based on an evaluation and rating of your education and experience. It is therefore important that your employment application provide a clear and detailed description of the duties and responsibilities of each position you held.

In-person interviews and/or further testing in Hawaii may be required at the discretion of the hiring agency. If in-person interviews and/or further testing is a requirement, applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person and at their own expense in this required phase of the selection process.

Applicants are encouraged to submit their applications as soon as possible. In addition to employment availability and score, the referral of qualified applicants may be based upon other factors including date of receipt of the application.