Senior Securities Specialist (Investigator)

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Department of Professional and Financial Regulation (& Boards) - Office of Securities

Job Class Code: 0888

Grade: 25 Professional/Technical

Salary: $56867.20 - $79747.20/Annually

Location: Gardiner ME

Opening Date: September 27 2026

Closing Date: October 20 2026

Currently this position is not eligible for visa sponsorship or STEM OPT extensions.

Are you suspicious of ads that promise high returns on risky investments and guarantee against any financial loss We are too. These ads are always too good to be true but that doesnt stop scammers from trying to defraud Maine investors.

If you are a detail-oriented team player with strong communication skills come join the team at the Maine Office of Securities to help protect Mainers from scams and other deceptive and unethical financial practices.

The Office is an agency within the Department of Professional and Financial Regulation. We offer a collaborative and supportive workplace with excellent training opportunities benefits and work/life balance. A hybrid work schedule is available after the initial training period.

As a Senior Securities Specialist (Investigator) you will:

• Help Mainers with complaints or questions about their investments or financial professionals.
• Investigate possible violations of state securities laws and other relevant statutes and regulations.
• Analyze complex financial transactions and practices involving a wide range of assets including stocks bonds ETFs and mutual funds alternative investments cryptocurrencies and other digital assets.
• Prepare investigative summaries and reports of your findings and recommend enforcement actions.
• Testify in administrative hearings and court proceedings.
• Draft subpoenas and document requests administrative orders and consent agreements.
• Review license applications from broker-dealer agents and investment adviser representatives.

To be successful in the position you must have or be able to develop:

• Knowledge of State and federal securities laws and regulations and investigative policies and procedures.
• Proficiency in Microsoft Word and Excel cloud-based collaboration platforms and financial analysis software.
• Strong working relationships with external partners including law enforcement regulatory agencies and civic groups that advocate for investors consumers and older adults.
• Effective communication with colleagues State officials and the public at large.

Minimum Qualifications

A seven (7) year combination of education and/or experience providinga knowledgeof securities law or relevant experience may be substituted for education on a year for year basis.

Preferences:

Preference will be given to candidates with financial services or financial regulatory experience a law degree or a background conducting investigations.

Contact Info:

Questions about this position should be directed to Parker Ferland at or .

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:

• Work-Life Balance Rest is essential. Take time for yourself using 13 paid holidays 12 days of sick leave and 3 weeks of vacation leave annually. Vacation leave accrual increases with years of service and overtime-exempt employees receive personal leave.
• Health Insurance Coverage The State of Maine pays 85%-100% of employee-only premiums ($11857.68-$13950.24 annual value) depending on salary. Use this chart to find the premium costs for you and your family including the percentage of dependent coverage paid by the State.
• Health Insurance Premium Credit Participation decreases employee-only premiums by 5%. Visit the Office of Employee Health and Wellness for more information about program requirements.
• Dental Insurance The State of Maine pays 100% of employee-only dental premiums ($365.28 annual value).
• Retirement Plan The State of Maine contributes 14.06% of pay to the Maine Public Employees Retirement System (MainePERS) on behalf of the employee.
• Gym Membership Reimbursement Improve overall health with regular exercise and receive up to $40 per month to offset this expense.
• Health and Dependent Care Flexible Spending Accounts Set aside money pre-tax to help pay for out-of-pocket health care expenses and/or daycare expenses.
• Public Service Student Loan Forgiveness The State of Maine is a qualified employer for this federal program. For more information visit the Federal Student Aid office.
• Living Resources Program Navigate challenging work and life situations with our employee assistance program.
• Parental leave is one of the most important benefits for any working parent. All employees who are welcoming a childincluding fathers and adoptive parentsreceive forty-two (42) consecutive calendar days of fully paid parental leave. Additional unpaid leave may also be available under the Family and Medical Leave Act.
• Voluntary Deferred Compensation Save additional pre-tax funds for retirement in a MaineSaves 457(b) account through payroll deductions.

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 full-time.

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 experience and passion set you apart.

If you require a paper application please download and print one HERE

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If you are unable to complete the online application please contact the Human Resources representative listed on the job opening you are interested in applying for. They will work with you for an alternative method of submitting.