Financial Examiner Supervisor

What you need to know:

This role will supervise examiners and perform the financial analysis of Montana-domiciled broker dealer firms and state registered investment adviser firms including investment adviser firms to detect and act upon conditions that may lead to financial loss or harm Montana investors.

This role will supervise examiners and conduct reviews and analysis of the policies and procedures of broker-dealer firms and investment adviser firms including investment adviser form brochures around issues of inter alia business plans books and records client protections supervision and proforma financial statements to assess reasonableness and compliance with the Montana Securities Act and its associated rules 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 (FINRA) and Securities and Exchange Commission (SEC) regulations and laws and applicable accounting theories.

This role will supervise examiners and conduct analysis of potential securities fraud or violations of the Montana Securities Act through the use of concepts and theories of law enforcement including both criminal and civil (or administrative) examinations effective research and analysis tools or skills and development of innovative examination approaches when necessary; exercise wide latitude of professional independent judgment in the conduct and supervision of investigations and review of evidence; and the preparation of written reports and defense of findings.

Experience in database applications and Microsoft Office software including Word Excel PowerPoint Teams and Outlook.

This role will supervise examiners and perform regulatory examinations of broker dealer firms and investment adviser firms regardless of domicile for cause.

Ability to use sound judgement examine technical data and identify discrepancies. Strong team player with the ability to establish and maintain effective working relationships with other employees the securities industry and the public.

Represent and promote the work of the Montana Securities Division to the public in a knowledgeable and professional manner and attend industry conferences and training to enhance industry knowledge and make professional contacts.

Strong communication skills are essential priority setting is a must along with the ability to work efficiently and productively with little to no supervision.

Who should apply

If you have 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.

Education/Experience Requirements:

Bachelors degree in accounting business finance or a related field.

Five (5) years of directly relevant experience.

A candidate with at least two (2) years of supervisory experience is preferred.

Alternate combinations of education and experience may be considered on a case-by-case basis.

How to apply:

If you meet the qualifications listed above and have an interest in protecting Montana consumers please submit the following:

Cover letter

Resume

Minimum two (2) professional references

Writing Sample

Note- when uploading and submitting your application materials please mark your attachments as relevant or we will not be able to view them.

Applications missing the requested documents will be considered incomplete and will not progress further in the process. Only electronic materials will be accepted. If you need assistance or accommodation please contact Human Resources.

Applicants claiming employment preference are required to provide proper documentation i.e. Vet Preference (DD214) Disabled Vet document 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.

The State of Montana has decentralized human resources (HR) system. Each agency is responsible for its own recruitment and selection. Anyone who requires a reasonable accommodation during the application or hiring process should contact the agencys HR staff as identified on the job listing or by dialing the Montana Relay at 711. Montana Job Service Offices also offer services including assistance with submitting an online application.

State government does not discriminate based on race color national origin religion sex 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.