NonDepository and Securities Compliance Examiner 1 Position Available In Indiana, Pennsylvania

NonDepository and Securities Compliance Examiner 1 3.6 3.6 out of 5 stars Home, PA

THE POSITION

Are you ready to take your career up a notch? The Pennsylvania Department of Banking and Securities, Non-Depository Examination Division is eager to welcome a detail oriented Non-Depository and Securities Compliance Examiner 1 to their team. This professional examines, investigates, and audits non-depository institutions to ensure compliance with laws and regulations. If you believe you have what it takes to succeed in this position, we want to hear from you!

DESCRIPTION OF WORK

In this beginning level position, you will be responsible for examining and auditing broker-dealer firms and investment advisers registered or required to be registered in Pennsylvania to determine compliance with federal, state and other regulatory requirements. Your investigative skills will be key as you interview registrants, inspect books, records and other relevant documents. Following investigations, you will prepare and submit detailed examination and investigative memos, reports and other related documents to supervisor or assigned senior staff. You will have the opportunity to collaborate with higher-level examiners and investigators who provide instruction and assistance on work problems. You may be asking yourself, why should I work at DoBS? The answer is simple, we place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce.

We also offer:

Competitive salary Stable and supportive work environment Networking opportunities 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. This work will be done in a geographic area that includes Harrisburg, Philadelphia, and Allentown.

Telework:

This position is home headquartered. In order to be home headquartered, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania.

Salary:

In some cases, the starting salary may be non-negotiable. You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY 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.

Other Requirements:

This particular position also requires possession of a valid driver’s license. You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment. 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.

EXAMINATION INFORMATION

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. Learn more about our Total Rewards by watching this short video! See the total value of your benefits package by exploring our benefits calculator. Health & Wellness We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.• Compensation & Financial Planning We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options. Work/Life Balance We know there’s more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, eight weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.• Values and Culture We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving. Employee Perks Sometimes, it is the little “extras” that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships. For more information on all of these Total Rewards benefits, please visit www.employment.pa.gov and click on the benefits box. Eligibility rules apply.