Securities Examiner Senior

State Of Nebraska Lincoln , NE 68501

Posted 2 months ago

Description

The Vision of the Nebraska Department of Banking and Finance (NDBF) is to make Nebraska the most trusted financial home for people and businesses. NDBF's Mission is to protect and maintain the public's confidence in Nebraska's financial industries. The NDBF is seeking an analytical and stellar communicator to fill a Securities Examiner Senior role in the agency. If you are interested in becoming part of a team where customer service and protecting consumers through fair and common sense supervision are priorities, NDBF is the place for you!

At the State, we believe our teammates are our most valuable asset, so we love to offer opportunities to develop and grow them to be able to create opportunities for advancement. If you join us as an entry-level Securities Examiner, the hourly wage is $21.375. Once you attain one year of experience, you can expect a compensation raise to $27.003 as a Securities Examiner Senior. If you are interested with getting your foot in the door with the State and being in a position aimed at advancing your career, this might be the perfect opportunity for you! This doesn't even cover all of the great benefits you get for working at the State of Nebraska!

Before we dive into what we need, let us show off what you get!

  • 13 paid holidays

  • Vacation and sick leave that begin accruing immediately

  • Military leave

  • 156% (that's not a typo!) state-matched retirement

  • Tuition reimbursement

  • Employee assistance program

  • 79% employer paid health insurance plans

  • Dental and vision insurance plans

  • Employer-paid $20,000 life insurance policy

  • Public Service Loan Forgiveness Program (PSLF) through the Federal government

  • Wide variety and availability of career advancement as the largest and most diverse employer in the State

  • Opportunity to be part of meaningful work and make a difference through public service

  • Training and Development based on your career aspirations

  • Fun, inviting teammates

  • A safe and secure environment

At the State, we stand by our core values of treating others with dignity and respect, acting ethically in all situations, and creating an environment where our customer is our top priority. Apply to join our team today!

NOTE: This position may be understaffed for up to one year at the lower Securities Examiner level and hiring rate in the event the candidate possesses lesser overall experience.

Securities Examiner - $21.735/ hour

Securities Examiner Senior - $27.003/ hour

Examples of Work

Performs routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska. Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules. Conducts exit interviews with directors, management, and/or compliance personnel and provides specific written reports and verbal recommendations. Prepares written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance. Prepares referrals for investigation, assists with investigations, and assists in preparing letters of caution or admonishment, as needed. Conducts "for cause" exams of investment advisers and broker-dealers in response to consumer allegations of fraud, conversion of assets, theft, and sales practice violations. Assists Deputy Director-Securities Bureau in establishing examination policies and procedures, assessing firm risk, setting exam schedules, identifying industry trends and issues, and other duties as assigned. Occasional travel is required, including some overnight travel.

Qualifications / Requirements

REQUIREMENTS: SECURITIES EXAMINER: Bachelor's Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting.

REQUIREMENTS: SECURITIES EXAMINER SENIOR: Bachelor's Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), including at least six hours in accounting. And, at least one year of examination, audit, compliance, or investigative experience.

PREFERRED: Securities background preferred. Law degree or advanced degree in business, finance, or accounting is preferred but not required.

OTHER: Valid driver's license and evidence of vehicle insurance, or the ability to provide independent authorized transportation. Must be willing and able to travel overnight approximately 5% of the time. Ability to lift up to 25 pounds. Regular and reliable attendance.

Knowledge, Skills and Abilities

Knowledge of: the commercial law and general economic conditions; overall management and operations of the institutions examined; systems, procedures, and policies of management; administration of an examination, to include procedures, methods and reporting requirements.

Ability to: accurately analyze financial and non-financial information and come to logical conclusions; interpret applicable state and federal laws, rules, regulations, policies, and industry guidelines; conduct exit interviews with management; read and understand charters and bylaws; determine compliance with laws, rules and regulations; evaluate overall operations including corporate structure, systems and procedures, policies of management, management effectiveness and various legal and technical problems as revealed by the examination; train, supervise and evaluate subordinate staff; present comments, opinions and factual information clearly and concisely; determine potential risks; and plan/organize time and resources in an effective manner.


icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Revenue Examiner

State Of Nebraska

Posted 5 days ago

VIEW JOBS 10/1/2022 12:00:00 AM 2022-12-30T00:00 <p>Description</p><p>The Department does not sponsor non-immigrant work visas for this position.</p><p>This position is in the Tax Incentives Group within the Audit section.</p><p>Under immediate to general supervision, searches, compiles, summarizes, reviews, crosschecks, and analyzes records and data related to financial transactions, reimbursement claims, and/or related operations of the Department of Revenue for compliance with established mandates. Provide technical assistance to clients, such as vendors, claimants, contractors, taxpayers, or the general public, about the regulations, processes, forms, and procedures of documenting transactions or cost/claim reimbursements and filing summaries or reports with the appropriate agency; performs related work as assigned.</p><p>NSOB -- Lincoln, 2nd floor</p><p>40 hrs weekly Examples of Work</p><p>1.Conduct in-office and/or on site reviews of transactions, records, tax returns, or refund claims to ensure compliance with tax regulations, agreements, or other criteria governing documentation, record keeping and reporting or eligibility requirements for assigned tax program.</p><p>2.Prepares work papers, spreadsheets, or review summaries to document work and support decisions or recommendations.</p><p>3.Contacts taxpayers to request records of information necessary to conduct a review or to explain process and requirements.</p><p>4.Respond to taxpayer requests for information and explanations regarding assigned tax programs.</p><p>5.Document relevant facts, information, results, and recommendations through reports and databases.</p><p>6.Compute Nebraska adjustments for individual income tax or incentive claims for benefits.</p><p>7.Discuss findings with Revenue professionals regarding information gathered or examined to resolve issues or make recommendations.</p><p>Qualifications / Requirements</p><p>REQUIREMENTS: Minimum Qualifications: post high school education or training in bookkeeping, accounting, or mathematics and at least two years of related experience OR Bachelors degree with emphasis in accounting.</p><p>PREFERRED: at least nine hours of accounting. Some positions in this class may require possession of a valid driver's license or the ability to provide independent authorized transportation in order to travel to taxpayer locations to conduct the examinations.</p><p>Knowledge, Skills and Abilities</p><p>Knowledge of: financial reporting procedures and accounting principles and methods; a variety of advisory, data, and information resources such as financial or accounting records and reporting requirements and guidelines; computer software operating manuals; governmental/administrative rules, regulations, statutes, and guidelines; non-routine correspondence.</p><p>Ability to: calculate addition, subtraction, multiplication, division, percentage, and decimal computations; perform mathematical operations using fractions, discounts, interest rates, ratios, and proportions; communicate verbally and in writing with other agency staff and client representatives; apply principles of and perform basic level data analysis, and interpret instructions; exercise limited independent judgment and decisiveness in a variety of settings; use a variety of office equipment; handle occasional confrontational individuals within business situations; perform basic data analysis including reviewing, categorizing, prioritizing, and/or referencing data, statutes, and guidelines; provide assistance, interpretation, and limited guidance to the public, co-workers and others regarding application of rules, policies, procedures, and standards to specific situations.</p><br> State Of Nebraska Lincoln NE

Securities Examiner Senior

State Of Nebraska