Securities Specialist 2 - 20060576 ( 260006UV )

Organization :

Commerce Agency Contact Name and Information :

Tina Kolbe - tina.kolbe@com.ohio.gov or 614-387-5455

Unposting Date :

Sep 21, 2026, 11:59:00

PM Work Location :

Riffe Tower 77 South High Street Concourse Columbus 43215

Primary Location :

United States of America-OHIO-Franklin County Compensation :

Pay range 32, step 1: $31.47/hr.

Schedule :

Full-time Work Hours :

8:00 am - 5:00 pm

Classified Indicator :

Classified Union :

OCSEA Primary Job Skill :

Business Technical Skills :

Investigation, Compliance Enforcement Professional Skills :

Analyzation, Attention to Detail, Leading Others, Responsiveness Agency Overview This posting is open to current Ohio Department of Commerce employees only. The Mission of the Ohio Department of Commerce is promoting prosperity by protecting what matters most The Division of Securities protects Ohioans' life savings and investments by administering and enforcing the Ohio Securities Act. This includes licensing the professionals who sell products - brokers-dealers, securities salespeople, investment advisers and investment adviser representatives - and registering products for sale. When Ohio securities laws are violated, the division can pursue administrative and civil actions, and criminal referrals. The division's outreach efforts help educate consumers so they avoid becoming victims of financial fraud. As the state's chief regulator, the Department of Commerce impacts Ohioans every day. We are motivated by our mission to promote prosperity for businesses and licensees by protecting what matters most to the residents of our state. We ensure compliance through proactive outreach, education, and customer-focused service. Commerce is comprised of eight operating divisions and one standalone program that span a variety of industries including real estate, liquor, banking, securities, firefighting, construction and skilled trades, and cannabis. Through exceptional compliance practices and oversight, Commerce has a direct role in protecting Ohioans. Our Guiding Principles Making an IMPACT for the customer: Inclusive Motivated Proactive Accountable Customer-Focused Teamwork For Information on Benefits, please click here . Job Duties The Division of Securities, Enforcement Section is seeking candidates to fill a Securities Specialist 2 role. The Securities Specialist 2 will: Independently receive, analyze & respond to complex and sensitive allegations of securities related misconduct &/or Ohio Securities Act violations and conducts confidential investigations, including criminal investigations, to ensure compliance with applicable Revised Codes (e.g., Chapter 1707 &/or related rules and criminal statutes). Perform lead work and review work of others to ensure conformance with established procedures & participate in development of policies & procedures for securities investigations. Perform increasingly more difficult & complex investigations involving securities issuers, broker-dealers, and other relevant persons, examines books, records & related documentation of issuers & sellers of securities to determine compliance with securities laws & regulations, perform investigations of fact in connection with securities complaints & examinations, prepare detailed reports of investigative findings & recommendations. Conduct or assist with securities investigations (e.g., sensitive investigations of possible securities violations) & prepare reports & analyses of findings. Independently receive, analyze & respond to complex and sensitive allegations of securities related misconduct &/or Ohio Securities Act violations and conducts confidential investigations, including criminal investigations, to ensure compliance with applicable Revised Codes (e.g., Chapter 1707 &/or related rules and criminal statutes). Conduct interviews with relevant persons (e.g., witnesses, complainants, respondents, suspects, broker-dealer &/or investment adviser firm representatives, law enforcement officers, investors, witnesses, prosecutors, attorneys) & other parties with relevant information for investigations. Review and analyze data from multiple sources, including law enforcement databases, open-source intelligence, confidential subpoena responses, financial records, search warrant evidence, court documents and other records as necessary and create and present summaries to attorneys and other staff within the Enforcement Section. Assist prosecutors, attorneys general, and division attorneys in preparation of evidence, exhibits and other documents and testimony for grand jury, administrative hearings &/or other judicial and quasi-judicial proceedings, including criminal proceedings, and will be required to testify in those proceedings. Conduct joint investigations with local, state & federal law enforcement agencies and regulatory agencies (e.g., Federal Bureau of Investigation; Internal Revenue Service; Postal Inspection; Secret Service; state and local police departments, state securities divisions) and assist in preparation and service of search warrants and subpoenas. Why Work for the State of Ohio At the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees

•. For a list of all the State of Ohio Benefits, visit our Total Rewards website !

Our benefits package includes:

Medical Coverage Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period Paid time off, including vacation, personal, sick leave and 11 paid holidays per year Childbirth, Adoption, and Foster Care leave Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more) Public Retirement Systems ( such as OPERS, STRS, SERS, and HPRS ) & Optional Deferred Compensation ( Ohio Deferred Compensation )

•Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position. Qualifications 24 mos. exp. performing criminal investigations; 36 mos. trg. or 36 mos. exp. in state &/or federal laws & regulations & agency's policies & procedures governing investment securities & investment securities examining practices & in performing securities examinations; 1 course or 3 mos. exp. in public relations; valid driver's license. -Or 24 mos. exp. examining financial records for firm, government agency or financial institution; 36 mos. trg. or 36 mos. exp. in state &/or federal laws & regulations & agency's policies & procedures governing investment securities & investment securities examining practices & in performing securities examinations; 1 course or 3 mos. exp. in public relations; 1 course or 3 mos. exp. in general management principles/techniques; valid driver's license. -Or completion of undergraduate core program in business administration (i.e., accounting or finance); 36 mos. trg. or 36 mos. exp. in state &/or federal laws & regulations & agency's policies & procedures governing investment securities & investment securities examining practices & performing securities examinations; 1 course or 3 mos. exp. in public relations; 1 course or 3 mos. exp. in general management principles & techniques; valid driver's license. -Or 12 mos. as Securities Specialist 1, 66591; valid driver's license. -Or equivalent of Minimum Class Qualifications for Employment noted above.

Job Skills:

Business Supplemental Information Applications must clearly indicate how the applicant meets the minimum qualification for the position. If you meet minimum qualification due to educational achievement, please submit a copy of your unofficial transcript(s) with your application. All answers to the supplemental questions must be supported by information provided in the work experience &/or education sections on your civil service application. Please do not use "see resume" as a substitution for the completed application; assumptions will not be made.

Application Status:

You can check the status of your application online by signing into your profile. Careers to which you've applied will be listed. The application status is shown to the right of the position title and application submission details. The final candidate selected for this position will be required to undergo a criminal background check as well as other investigative reviews. Criminal convictions do not necessarily preclude an applicant from consideration for a position, unless restricted under state or federal law or federal restrictions. An individual assessment of an applicant's prior criminal convictions will be made before excluding an applicant from consideration. ADA Statement Ohio is a Disability Inclusion State and strives to be a model employer of individuals with disabilities. The State of Ohio is committed to providing access and inclusion and reasonable accommodation in its services, activities, programs and employment opportunities in accordance with the Americans with Disabilities Act (ADA) and other applicable laws. Drug-Free Workplace The State of Ohio is a drug-free workplace which prohibits the use of marijuana (recreational marijuana/non-medical cannabis). Please note, this position may be subject to additional restrictions pursuant to the State of Ohio Drug-Free Workplace Policy (HR-39), and as outlined in the posting.