Examiner
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Job Location:
Baltimore, MD - USA
Monthly Salary:
$ 66314 - 93569
Posted on:
2 days ago
Vacancies:
1 Vacancy
Job Summary
Introduction
The Attorney General is the chief legal officer of the State of Maryland. The Office of the Attorney General (OAG) has the general charge supervision and direction of the States legal business acting as legal advisors and representatives of the major agencies various boards commissions officials and institutions of State Government. The OAG also protects the public by civil enforcement of antitrust civil rights consumer protection and securities laws and regulations and by the prosecution of organized crime Medicaid fraud environmental crimes insurance fraud state tax evasion and other statutorily assigned matters. As Marylands 47th Attorney General Anthony G. Brown leads the Office with a critical focus on equity justice and fairness.
GRADE
16
This position offers a salary range of $66314 - $93569 with potential for advancement up to $103309 based on qualifications equity and hiring guidelines. Initial salary offers are determined by qualifications experience and available budget and typically do not exceed $93569.
LOCATION OF POSITION
Office of the Attorney General
Securities Division
Franchise Unit
200 St. Paul Place
Baltimore Maryland 21202
Main Purpose of Job
The OAG is seeking qualified applicants for an Examiner position in the Franchise Unit in the Securities Division. This position will play a key role in protecting investors and ensuring compliance with state securities and franchise laws. Working primarily within the Franchise Unit the Examiner is responsible for reviewing analyzing and investigating franchise registration filings and related disclosures to determine compliance with applicable statutes and regulations. While the Examiner will primarily work in the Franchise Unit they may be required to work with other units within the Securities Division.
The mission of the Securities Division is to protect Maryland investors from investment fraud and misrepresentation.In addition the Division regulates the sale in Maryland of certain business opportunities including franchise and securities offerings investigates complaints about potential violations of the investor protection laws and provides consumers with information they need to make appropriate investment decisions and avoid securities fraud and abuse. The Securities Division has 14 attorneys including the Commissioner and two Assistant Commissioners five examiners three investigators and six support professionals.
POSITION DUTIES
Review and Analysis
o Examine initial and renewal franchise registration applications amendments and exemption filings to ensure compliance with Maryland franchise and securities laws.
o Analyze disclosure documents financial statements and related filings for accuracy and completeness.
Compliance and Communication
o Draft clear legally sound correspondence to applicants identifying deficiencies and requesting corrective action.
o Communicate professionally with franchisors applicants and legal counsel regarding filing requirements and compliance expectations.
Case Management
o Track and monitor filings using electronic systems such as EFD and FRED ensuring timely responses and accurate records.
o Follow up on deficiency letters and verify corrective actions prior to approval or further regulatory action.
Support for Enforcement and Policy
o Assist attorneys with administrative actions enforcement matters and policy interpretation.
o Prepare pleadings memoranda and other documents related to compliance and disciplinary proceedings.
Public Interaction
o Respond to inquiries from applicants registrants attorneys and the public providing accurate guidance on registration and exemption requirements.
Other duties include consulting with Assistant Attorneys General on matters of policy and legal interpretation assisting with disciplinary and enforcement proceedings supervising support staff in conjunction with other examiners and attorneys and performing examiner functions in other units as needed.
MINIMUM QUALIFICATIONS
Education: Bachelors degree from an accredited four-year college or university.
Experience: Three years of legal franchise business planning or accounting experience.
This position requires strong organizational and time-management skills with the ability to manage multiple applications or filings simultaneously and meet established deadlines. Attention to detail and accuracy when reviewing complex regulatory and financial information and the ability to work independently while also collaborating effectively within a team environment.
DESIRED OR PREFERRED QUALIFICATIONS
- Background in law accounting finance economics franchise business planning securities or law enforcement.
- Experience reviewing analyzing or processing regulatory filings applications registrations or disclosures in a government legal financial or compliance environment.
- Knowledge of franchise securities and business entity laws and regulations including familiarity with state franchise registration requirements and exemptions and general understanding of federal securities laws.
- Ability to analyze legal financial and disclosure documents including franchise disclosure documents (FDDs) financial statements and application forms to identify deficiencies inconsistencies or potential compliance issues.
- Experience interpreting and applying statutes regulations policies and procedural guidelines to specific factual situations.
- Experience drafting clear professional and legally appropriate written correspondence including deficiency letters requests for additional information and administrative or regulatory pleadings and other communications.
- Proficiency in using electronic filing systems databases and document management platforms; experience with regulatory filing systems such as EFD FRED or similar systems.
- Experience working with business planning and/or reviewing the books and records of companies.
SELECTION PROCESS
Applicants who meet all the minimum and preferred qualifications will be included in further evaluation. The evaluation may be a rating of your application based on your education training and experience as they relate to the requirements of the position. Therefore it is essential that you provide complete and accurate information on your application and answer all supplemental questions. Please report all related education experience dates and hours of work. Clearly indicate your college degree and major on your application if applicable. For education obtained outside the U.S. any job offer will be contingent on the candidate providing an evaluation for equivalency by a foreign credential evaluation service prior to starting employment (and may be requested prior to interview).
Complete applications must be submitted by the closing date. Information submitted after this date will not be added. Incorrect/incomplete application forms will not be accepted. Please include start/end dates and detailed job duties for each work addition complete answers to supplemental questions.
Successful candidates will be placed on the eligible list for at least one year. Candidates may remain on the certified eligible list for a period of at least one year. The resulting certified eligible list for this recruitment may be used for similar positions in this or other State agencies.
BENEFITS
The successful candidate will be eligible for subsidized health benefits (medical prescription dental and vision coverage) and life insurance; leave including annual (vacation) personal sick and paid parental leave; and will be eligible for participation in a contributory defined benefit pension plan in which they are vested after ten years. State employees are eligible to participate in two supplemental retirement plans: the 457 Deferred Compensation Plan and the 401(k) Savings and Investment Plan. The State also offers a free mass transit benefit for local bus and express bus services.
FURTHER INSTRUCTIONS
Online applications are STRONGLY preferred. Please upload a resume in addition to the on-line application. If the online application process is not available please send your paper application and supplemental questionnaire to TTY Users: call via Maryland Relay.
If you have specific questions about recruitment email
The Office of the Attorney General is an equal opportunity employer that encourages all interested persons to apply regardless of race color religion or belief ancestry national origin age marital status sexual orientation gender identity and/or expression disability pregnancy family or parental status veteran status genetic information or any protected category prohibited by local State or federal laws.
Key Skills
- Auditing
- GAAP
- Military Experience
- Phlebotomy
- Conflict Management
- Vital Signs Experience
- Computer Forensics
- Research Experience
- Securities Law
- Operating Systems
- PTSD Care
- RMF
