Securities Examiner Senior
State of Nebraska

Job Info

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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! We offer an excellent total compensation package, including 13 paid holidays, immediate earning of vacation and sick leave, health, dental, vision, and life insurance options, and educational training opportunities.

For more information about the Nebraska Department of Banking and Finance, please visit our website at www.ndbf.nebraska.gov.

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 - $21.309/ hour Securities Examiner Senior - $26.474/ hour

1526 K Street

Hours: 8-5, Monday - Friday.
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
Examiner Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND one year of professional financial examination experience with a state, federal or self-regulatory organization. One year of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.

Examiner Senior Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND two years of professional financial examination experience with a state, federal or self-regulatory organization. Two years of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.

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 accounting principles and practices, corporate law and finance, and state securities law. Ability to define problems, collect data, establish facts and draw valid conclusions; review and interpret financial records and journals; handle sensitive inquiries and develop good rapport with public, business representatives and government officials; prepare detailed reports and analyses of findings. Demonstrated exceptional analytical, interpersonal, written, and oral communication skills. The ability to deal with conflict in a constructive manner. Good computer skills are necessary, including proficiency with Microsoft Word and Excel. Must be able to meet deadlines and work with limited supervision.

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