Senior Compliance Examiner (Senior Securities Examiner)
Senior Compliance Examiner (Senior Securities Examiner)
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$ 51688 - 72467
1 Vacancy
Job Description
Department of Professional & Financial Regulation (and Boards)
Job Class Code: 0349
Grade: 24/Professional & Technical
Salary: $51688.0072467.20/Annually
Location: Gardiner
Opening Date: May 15 2025
Closing Date: May 30 2025
Protect Maine investors from fraudulent deceptive and unethical practices in the securities and investment industry and promote healthy capital markets with the Maine Office of Securities an agency within the Department of Professional and Financial Regulation. The Senior Compliance Examiner conducts examinations of licensed investment advisers brokerdealers and their representatives to ensure that these securities firms and professionals serve Maine clients ethically responsibly and in compliance with applicable laws and regulations. If you are detailoriented personable a team player with strong writing and communication skills and want to use your industry experience to benefit Maine investors come join our team! The Office of Securities is a collaborative and supportive workplace. Hybrid work schedules are available after an initial training period.
Primary responsibilities include:
- Conducting field and desk examinations of brokerdealers and investment advisers including review of books and records internal controls client files and correspondence to ensure compliance with state law rules and regulations.
- Preparing examination reports with findings recommendations supporting data and financial analysis.
- Testifying at hearings to explain examination findings.
- Reviewing license applications for investment advisers brokerdealers and representatives.
- Providing guidance and feedback to securities firms and industry professionals.
- Recommending changes to laws rules policies and procedures that protect investors and respond to industry trends.
- Assisting investigative staff to review and analyze financial and transactional information as needed to address consumer complaints.
Skills or knowledge required:
- Experience training or education in the securities or other financial services or accounting fields.
- Analyzing financial records and data.
- Writing clear effective and precise reports.
- Managing multiple tasks and priorities.
Minimum qualifications:
A six (6) year combination of education training and/or experience in the securities or other financial services industry securities or other financial services regulation finance law accounting or will be given to applicants with financial examination or securities industry experience.
Preference will be given to those applicants:
- Financial examination or securities industry experience.
- Strong working knowledge of Excel and comfort with Microsoft collaboration tools including Teams SharePoint and OneDrive.
Contact information:
Questions about this position should be directed to Cathy Williams Director of Examinations & Licensing
Application Instructions:
Interested applicants need to apply online by selecting the Apply for this opening button along with uploading a cover letter current resume and copies of any transcripts or certifications you wish to have considered while evaluating your application.In order for us to properly determine if you meet the minimum qualifications for any posting you must be sure your resume includes month and year for any experience listed along with the duties and responsibilities associated with each particular time period. Any experience that was not fulltime employment should be identified as such.
If you require a paper application please download and print one here contact our office at. Paper applications for this posting should be submitted along with cover letter and resumebefore the closing dateto Security & Employment Service Center 45 Commerce Drive Augusta ME 04330 or faxed to. Be sure title of the job you are applying for is included. Applications cannot be accepted after the posting closing date.
Benefits of working for the State of Maine:
No matter where you work across Maine state government you find employees who embody our state mottoDirigo or I leadas they provide essential services to Mainers every day. We believe in supporting our workforces health and wellbeing with a valuable total compensation package including:
- WorkLife Fit Rest is essential. Take time for yourself using13 paid holidays12 days of sick leave and3 weeks of vacation leaveannually. Vacation leave accrual increases with years of service and overtimeexempt employees receive personal leave.
- Health Insurance Coverage The State of Maine pays85%95% of employeeonly premiums ($11196.96 $12514.32 annual value) depending on salary. Use this chart to find the premium costsfor you and your family including the percentage of dependent coverage paid by the State.
- Dental Insurance The State of Maine pays 100% of employeeonly dental premiums ($387.92 annual value).
- Retirement Plan The State contributes the equivalent of 13.29% of the employees pay towards the Maine Public Employees Retirement System (MainePERS) for MSEA or 18.09% for Confidential employees.
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 fulltime.
Theres a job and then theres 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.
If youre looking for a great next step and want to feel good about what you do wed love to hear from you. Please note reasonable accommodations are provided to qualified individuals with disabilities upon request.
Thinking about applying
Research shows that people from historically excluded communities tend to apply to jobs only when they check every box in the posting. If youre currently reading this and hesitating to apply for that reason we encourage you to go for it! Let us know how your lived experience and passion set you apart.
Required Experience:
Senior IC
Employment Type
Full-Time
