Non-Depository and Securities Compliance Examiner 1

Are you interested in a professional opportunity where you will leverage your financial and investigative skills? The Department of Banking and Securities (DoBS) is eager to welcome an ambitious and detail-oriented Non-Depository and Securities Compliance Examiner 1 to the team. In this beginning level position, you will examine and audit broker-dealer firms and investment advisers to determine compliance with federal, state and other regulatory requirements and ensure investor protection. Take the next step in your career with us and contribute to our team's success!

As a Non-Depository and Securities Compliance Examiner 1, you will work under the guidance of higher-level examiners and/or investigators ("senior staff"), who provide instruction and assistance on work problems. As technical proficiency is acquired, this position is given increased responsibility for independent examination or investigation assignments. Work involves performing examinations and reviewing filings made by the registrant on the type and kind of business the registrant is conducting in preparation for the on-site examination. The examination includes interviewing the registrants and registrants' principals, inspecting their books and records, and compiling data from relevant documents. You will be expected to confer with the supervisor or assigned senior staff to develop an examination schedule and analyze examination and investigative issues. You will have the opportunity to submit detailed examination reports and draft deficiency letters to registrants outlining noncompliance with statutory requirements.

Why work at DoBS? We place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce.
We offer:

• Competitive salary
• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• Comprehensive benefits
• Retirement package
• On-the-job training
• Professional development

Interested in learning more? Additional details regarding this position can be found in the position description.

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with 60-minute lunch.
• Telework: You will not have the option to telework in this position.
• Salary: Most employees will start at the beginning level of the advertised salary.
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

QUALIFICATIONS

Minimum Experience and Training Requirements:

• A bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or
• An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.

Post Employment Requirement:

• Real ID or Passport required for travel.

Other Requirements:

• This particular position also requires possession of a valid driver's license.
• You must meet the PA residency requirement. For more information on ways to meet PA residency requirements, follow the link and click on Residency.
• You must be able to perform essential job functions.

How to Apply:

• Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education).
• This posting requires submission of a copy of your college transcript(s). Unofficial transcripts are acceptable. You may upload your document as an attachment during the application process. You must still complete the application and answer the supplemental questions. All documents MUST be uploaded prior to the submission of your application.
• Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted.
• Failure to comply with the above application requirements may eliminate you from consideration for this position.

Veterans:

• Pennsylvania law (51 Pa. C.S. *7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to www.employment.pa.gov/Additional%20Info/Pages/default.aspx and click the Veterans' Preference tab or contact us at ra-cs-vetpreference@pa.gov.

Telecommunications Relay Service (TRS):

• 711 (hearing and speech disabilities or other individuals).

If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

• Completing the application, including all supplemental questions, serves as your exam for this position. No additional exam is required at a test center (also referred to as a written exam).
• Your score is based on the detailed information you provide on your application and in response to the supplemental questions.
• Your score is valid for this specific posting only.
• You must provide complete and accurate information or:
  • your score may be lower than deserved.
  • you may be disqualified.
• You may only apply/test once for this posting.
• Your results will be provided via email.