Financial Examiner 3 PCN 083101
Financial Examiner 3 PCN 083101
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 3144 - 3239
1 Vacancy
Job Description
Job Description
The Division of Banking and Securities is recruiting for a Financial Examiner 3 located in Anchorage or Fairbanks!
What you will be doing:
The Financial Examiner 3 will conduct examinations and act as the ExaminerinCharge. Financial Examiner3 is the lead level of the series and is proficient in the interpretation and application of laws regulations and other guidance governing financial services operating in Alaska. This position works in the Securities Section of the division.- Plan conduct and lead routine and forcause examinations of investment advisers and brokerdealers independently and/or in cooperation with a federal or state agency determine whether the financial entity and its agents operate in accordance with state and federal laws applicable financial standards and maintains appropriate and accurate books and records prescribed by statute regulation and best industry practices;
- Respond to consumer investor entrepreneur and other inquiries or questions from the public regulators law enforcement legislators and others; prepare and present information to consumers entrepreneurs and others in public forums;
- Research and draft legislation and regulations.
Our organization mission and culture:
Are you looking for an exciting career in state government where you are valued and encouraged to grow The Division of Banking and Securities (DBS) mission is to protect consumers of financial services and promote safe and sound financial systems with a vision to make DBS an outstanding place to make a career protecting Alaskans and bringing financial innovation to our state. The Divisions leadership promotes a positive and respectful culture with opportunities for career growth.
The benefits of joining our team:
The Division has a professional and dedicated staff who work well independently and as part of a team. The Division offers training opportunities to enhance knowledge of changing rules and regulations governing regulated entities.
This position may be eligible for telework an alternative work schedule and travel opportunities.
The Division offers a comprehensive employee benefits package that includes health insurance retirement and paid holidays.
The working environment you can expect:
The Division has employees in Anchorage Juneau and Fairbanks.
This position is located in Anchorage or Fairbanks. However this position will conduct examinations at various locations with seasoned examiners.
Travel is required and may occur within Alaska or in the lower 48 for training and examinations.
Who we are looking for:- Strong verbal and interpersonal communication skills;
- Ability to read interpret and apply laws and regulations;
- Experience working with confidential information and ability to exercise a high degree of tact discretion and judgment in dealing with confidential information;
- Thorough in performing work to include attention to detail in written reports and fact finding; and
- Ability to establish and maintain cooperative relationships with coworkers management and federal and state examiners; and show understanding courtesy tact and politeness.
Minimum Qualifications
Any combination of education and/or experience that provides the applicant with competencies in
- Administrative Law: Knowledge of state and Federal administrative laws including procedures regulations guidelines and precedents related to case preparation and settlements.
- Financial Examination: Knowledge of the laws regulations principles and practices that govern financial institutions (depository and nondepository) handling financial services transactions; analyzes financial statements lending or loan portfolios client/customer files investment portfolios and/or management policies and operations; examine for safety and soundness and/or compliance; identifies any discrepancies and determines necessary corrective actions.
- Principles of Finance: Knowledge of the basic principles practices and methods of financial management to include requisitions apportionments allotments investments fiscal management activity reporting and fiscal year guidelines.
- SelfManagement: Sets welldefined and realistic personal goals; displays a high level of initiative effort and commitment towards completing assignments in a timely manner; works with minimal supervision; is motivated to achieve; demonstrates responsible behavior.
- Technical Competence: Uses knowledge that is acquired through formal training or extensive onthejob experience to perform ones job; works with understands and evaluates technical information related to the job; advises others on technical issues.
Equivalent to those typically gained by:
Any combination of preparatory postsecondary education and/or progressively responsible professional level experience in reviewing licensure and conducting examinations enforcements and/or investigations or conducting other programmatic activities for securities depository institutions and/or nondepository financial services entities.
OR
Professional designation as a Certified Financial Planner Chartered Financial Analyst Chartered Investment Counselor Certified Investment Analyst Personal Financial
Consultant or holds or has held a license or registration as a Mortgage Loan Originator.
Special Note:
Competencies means a combination of interrelated knowledge skills abilities and behaviors that enable a person to act effectively in a job or situation.
Typically gained by means the prevalent usual method of gaining the competencies expected for entry into the job.
Training and education in this guidance are synonyms for the process of acquiring knowledge and skills through instruction. It includes instruction through formal and informal methods (such as classroom online selfstudy and onthejob) from accredited and unaccredited sources and longduration (such as a postsecondary degree) and shortduration (such as a seminar) programs.
Professional experience means work that is creative analytical evaluative and interpretive; requires a range and depth of specialized knowledge of the professions principles concepts theories and practices; and is performed with the power or right to decide or act according to ones own judgment.
Progressively responsible means indicating growth and/or advancement in complexity difficulty or level of responsibility.Additional Required Information
At time of interview applicants are requested to submit:
Copies of your most recent two 2 evaluations (or you can bring them to the interview if selected); and
Three 3 professional references who have supervisory responsibility over you and their daytime contact phone numbers (or you can bring them to the interview if selected).
If postsecondary education is required to meet the minimum qualifications you must fill in the Education section of the application. If you have not obtained a degree please indicate the number of units completed. Copies of transcripts are required to verify educational credentials if used to meet the minimum qualifications for a position. Transcripts can be attached at the time of application or provided at the time of interview.
WORK EXPERIENCE
If using work experience not already documented in your application also provide the employer name your job title dates of employment and whether fullor parttime. Applications will be reviewed to determine if the responses are supported and minimum qualifications are clearly met. If they are not the applicant may not advance to the interview and selection phase of the recruitment.
MULTIPLE VACANCIES
This recruitment may be used for more than one 1 vacancy. The applicant pool acquired during this recruitment may be used for future vacancies for up to ninety 90 days after this recruitment closes. Interested applicants are encouraged to apply to each recruitment notice to ensure consideration for all vacancies.
NOTICE
Questions regarding the application process can be directed to the Workplace Alaska hotline at(toll free) or .If you choose to be contacted by emailplease ensure your email address is correct on your application and that the spam filter will permit email from the domains.For information on allowing emails from the domains visit the Lost Password Help page located at STATEMENT
The State of Alaska complies with Title I of the Americans with Disabilities Act (ADA). Individuals with disabilities who require accommodation auxiliary aides or services or alternative communication formats please callin Juneau or TTY: Alaska Relay 711 oror correspond with the Division of Personnel & Labor Relations at: P. O. Box 110201 Juneau AK. The State of Alaska is an equal opportunity employer.WORKPLACE ALASKA APPLICATION QUESTIONS & ASSISTANCE
Questions regarding application submission or system operation errors should be directed to the Workplace Alaska hotline at(toll free) orif you are located in the Juneau area. Requests for information may also be emailed to.
For applicant password assistance please visit: Information
For specific information in reference to the position please contact the hiring manager at:Ann SivulichFinancial Examiner 4Phone:
Employment Type
Full-Time
