Cc Sec DealerInvmt Advr Exmr
Share
Job Location:
Phoenix, NM - USA
Monthly Salary:
Not Disclosed
Posted on:
5 hours ago
Vacancies:
1 Vacancy
Job Summary
CORPORATION COMMISSIONThe 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 medium-sized 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. |
Sec Dlr/Exmr
| Job Location: |
Address: 1300 W. Washington St. 3rd FloorPhoenix AZ 85007
Flexible and Partial Remote Work Schedule Possible
| Posting Details: |
Salary: 50000-61.000
Grade: 20
Closing Date: 12/15/2025
| Job Summary: |
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.
| Job Duties: |
You will conduct examinations of regulated and licensed securities businesses and persons to ensure compliance with relevant rules statutes and laws. Your responsibilities will also include evaluating registration and licensing applications for compliance with the Investment Management Act and the Securities Act of Arizona. This will involve complex technical review and analysis as well as the review of public and corporate addition you will assist in complaint investigations and in managing phone calls and emails received from the public and their subsequent routing when applicable.
| Knowledge Skills & Abilities (KSAs): |
Prior work experience and/or familiarity with securities dealers operations and compliance
Prior work experience and/or familiarity with the financial industry and investment products
General familiarity with the Investment Management Act and the Securities Act of Arizona
Knowledge of the principles of auditing and examination of investment advisors and securities dealers
Ability to interpret and apply state and federal securities laws rules regulations and statutes
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
| Selective Preference(s): |
Experience in the securities industry is preferred.
| Pre-Employment Requirements: |
-Any offer of employment is contingent upon successful completion of an employment/reference check and confirmation of any degrees/certifications.
-A.R.S. Section 40-101 prohibits Commission employees from having certain financial 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 (E-Verify).
| Benefits: |
- Excellent comprehensive benefits including a top-ranked retirement plan low-cost health coverage supplemental policies such as vision and short-term 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 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
| Retirement: |
This position participates in the Arizona State Retirement System (ASRS) defined benefit pension.
| Contact Us: |
If you have any questions please feel free to contact ACC Human Resources at for assistance. The State of Arizona is an Equal Opportunity/Reasonable Accommodation Employer.
Key Skills
- Sales Experience
- Apple Numbers
- Door-to-Door Experience
- OEM
- Dealership Experience
- Predictive Analytics
- Math
- Regulatory Reporting
- Auto Service Management
- CRM Software
- negotiation
- Contracts
About Company
The Arizona Department of Revenue is consistently striving towards recruiting individuals who are committed to providing quality services to the citizens of Arizona and are passionate about creating solutions to the ever-evolving decisions faced within state government.
