SecuritiesInvestigations Advisor Examiner
SecuritiesInvestigations Advisor Examiner
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Salary Not Disclosed
1 Vacancy
Job Description
CORPORATION COMMISSION
The Arizona Corporation Commission (AZCC) is one of the most unique state agencies in Arizona and one of only 13 public utility commissions in the country where commissioners are elected. Established by the Arizona Constitution the AZCC is a mediumsized state agency with offices in Phoenix and Tucson. Our mission is diversespanning utility rate making; securities registration and enforcement; rail and pipeline safety; and corporate business filingsand we boast an average employment tenure of over 10 years. Learn more by visiting . We are an Equal Employment Opportunity agency and a recognized Arizona Veteran Supportive Employer.
Financial Institution Examiner
Address: 1300 W. Washington Phoenix AZ 85007
Partial Remote Work and Flex Scheduling Options Available
Hiring Salary: 60000
Grade: 20
The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions and the registration and oversight of securities dealers and salespersons and investment advisers; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.
You will conduct examinations of regulated and licensed securities businesses and persons to ensure compliance with relevant rules statutes and laws. Your responsibilities also include evaluating registration and licensing applications for compliance with the Investment Management Act and the Securities Act of Arizona. This involves conducting complex technical review and analysis reviewing public filings and assisting in complaint investigations.
Knowledge of the principles of auditing and examination of investment advisors and securities dealers
Familiarity with the Investment Management Act and the Securities Act of Arizona
Ability to interpret and apply state and federal securities laws rules regulations and statutes
Prior work experience and/or familiarity with the financial industry and investment products
Excellent interpersonal communication skills to interact efficiently with members of the public industry personnel law enforcement and others to both answer questions and elicit information in interviews
Ability to prepare clear concise reports
Highly developed skills in reading comprehension oral and written communication
Effective computer skills particularly in MS Word Excel and other MS Office programs
N/A
Any offer of employment is contingent upon successful completion of a background/reference check and confirmation of any degrees/certifications.
A.R.S. Section 40101 prohibits Commission employees from having certain interests in entities that the Commission regulates. Applicants shall be required to disclose any interests they may have in the regulated entities during the application process and as a condition of employment to divest themselves of any prohibited interests.
If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business then the following requirements apply:Drivers License Requirements.
All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (EVerify).
Excellent comprehensive benefits including a topranked retirement plan lowcost health coverage supplemental policies such as vision and shortterm disability and generous paid vacation and sick leave programs
Career and personal development support; multiple training and education opportunities and resources; qualifying Public Service Loan Forgiveness employer
Interesting challenging work in a public sector environment with the chance to make a real difference in our state
We are an Equal Employment Opportunity agency and a recognized Arizona Veteran Supportive Employer
Learn more about the Paid Parental Leave pilot programhere. For a complete list of benefits provided by The State of Arizona please visit our benefits page
This position participates in the Arizona State Retirement System (ASRS) defined benefit pension.
If you have any questions please feel free to email for assistance.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
