Securities Examiner Senior

State Of Nebraska Lincoln , NE 68501

Posted 2 months ago


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.

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Securities Examiner Senior

State Of Nebraska