Financial Examiner
Financial Examiner
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
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
What can you offer us
To be successful in this position you must exhibit the following knowledge skills and abilities:
- Knowledge of the Montana Securities Act and promulgated administrative rules there under; the federal Securities and Exchange Acts of 1933 and 1934; Investment Advisors Act of 1940; Investment Company Act of 1940; applicable Financial Industry Regulatory Authority and Securities and Exchange Commission regulations and laws; books and records requirements for broker-dealer and investment advisor firms; and the accounting theories GAAP and other procedures established for securities firms.
- Knowledge of economic and accounting practices examining and auditing techniques and analysis of financial data.
- Knowledge of the concepts and theories of law enforcement; criminal investigations; ability to develop innovative approaches to investigations; conduct research and analysis; exercise wide latitude of professional independent judgment and decisions; and act persuasively in reviewing evidence and examination work papers to determine whether they satisfy the requirements governed by law.
- Skill in establishing and implementing examination procedures work methods and priorities; reviewing complex financial data and material; writing/editing skills to write and review comprehensive examination reports.
- Skilled in database applications and Microsoft Office software including Word Excel PowerPoint Teams and Outlook.
- Ability to analyze financial statements of broker dealer and investment adviser firms is essential
- Ability to use sound judgement examine technical data and identify discrepancies.
- A strong team player with the ability to establish and maintain effective working relationships with other employees the securities industry and the public
- Strong communication skills are essential along with the ability to work efficiently and productively with little to no supervision.
Minimum Educational and Experience Requirement
- Bachelors degree in Accounting Business Finance Criminal Justice or related field
- Three (3) years of Financial Securities-related or Investigative Experience.
*Alternate combinations of Education and Experience may be considered on a case-by-case basis.
How to apply
Special Instructions:
If you feel you have the qualifications for this position to include the knowledge skills and abilities as described above and have an interest in protecting Montana Consumers please submit all of the following with your application materials:
- Cover Letter
- Resume
- College Transcripts
- Minimum of Two Professional References
Important Tip:
When uploading and submitting your application materials please make sure to mark your attachments as relevant or we will be unable to view your documents.
Please Note: In order to be considered all application materials (see items 1-4 above) must be submitted by no later than the closing date/time on this posting.
CSI will invite a limited number of applicants to a minimum of one structured interview. Selectees are subject to successful reference background and fingerprint check.
Successful applicant(s) will be subject to criminal history background check.
Only electronic materials will be accepted. If you need assistance or an accommodation please contact Human Resources. Materials submitted but not requested will not be considered in the selection process.
Applicants claiming employment preference are required to provide proper documentation i.e. Veterans Preference (DD214) Documentation from U.S. Veterans Administration certifying service-connected disability or purple heart medal Disabled (DPHHS Disability Certification) by the closing date. The State of Montana Careers system will generate an email with instructions on how to submit preference documents.
State government does not discriminate based on race color national origin religion sex sexual orientation gender identity or expression pregnancy childbirth or medical conditions related to pregnancy or childbirth age physical or mental disability genetic information marital status creed political beliefs or affiliation veteran status military service retaliation or any other factor not related to merit and qualifications of an employee or applicant.
CSI Overview
We are entrusted with protecting all Montanans from bad actors by regulating two of the states largest industries - securities and insurance. We strive to foster a thriving Montana industry marketplace through education common-sense regulation and equitable enforcement of the law with swift accountability for fraudsters and justice for their victims.
OurVision
At the CSI our vision is to safeguard Montana consumers by regulating the insurance and securities industries investigating fraud and prosecuting criminals.
Our Mission
Our Mission consists of the following:
- Informing consumers and industry through education and outreach
- Providing responsive and meaningful customer service
- Supporting Montana business by promoting industry innovation and removing unnecessary regulatory roadblocks and red tape
- Managing State Trust Lands with long-term goals of stewardship for the ongoing benefit of public education.
Why Work with Us
All of our positions with the agency are located in Helena Montana. Montana is an all-around great place! We are centrally located in the heart of Helena and within walking distance of beautiful downtown. With countless outdoor opportunities great schools and a small-town atmosphere Helena is an excellent place to live. You can also learn more about moving to and living in Helena Montanahere. The Montana State Auditors Office is an equal opportunity employer.
We know you have many employment opportunities available to you. But just as we caught your attention with the appeal of a small-city mountain life we will also appeal to you in creating your professional working environment. The CSI is an efficient highly regarded professional regulatory agency with responsibility for consumer protection of insurance and securities purchasers. Our success derives from having effective working relationships built on mutual trust and respect for each others skills and abilities. We will challenge you to be the best you can be in both your individual competencies and a team-player. We have created an environment for success and will work hard to provide opportunity for you to progress in your career with mentorship education training and certifications.
About this Opportunity
We are currently seeking a candidate to fill the role of a Securities Financial Examiner in our Securities Division. The CSI advocates for the citizens of Montana by ensuring consumers and investors have fair transparent access to insurance and securities. The Securities Division is responsible for the following:
- Educating Montanas consumers and investors on securities
- Investigating securities and financial fraud
- Encouraging capital investment in Montana
- Promoting uniformity in the market through oversight of the securities industry
- Examining the securities industry for compliance with the Montana Securities Act.
This position supports the agencys mission by conducting financial regulatory examinations of Montana registered broker-dealer and investment adviser firms to analyze the financial condition of the firms ensuring compliance with state and federal securities regulatory requirements and by helping to establish a well-regulated securities industry in Montana that encourages capital investment. This position will also conduct investigations into allegations of securities fraud or violations of the Montana Securities Act.
Your service is rewarded with competitive compensation and generous benefits.
- Work/life balance
- Medical dental and vision coverage
- Retirement plans
- Generous paid vacation sick leave and holidays
- Pre-tax flexible spending accounts
- A vibrant Employee Assistance Program
- State of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness.
Additional benefit package information is availablehere.
Employment Type
Full Time
