SECURITIES EXAMINER 2* - 07282026-79501

About the Role

This classification functions at the intermediate working level with a moderate sized workload performing examination work of considerable difficulty. An employee in this class is responsible for examining applications for registration of securities offerings, broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives. The employee is also responsible for conducting post-registration examinations for Tennessee based broker-dealers and investment advisers. This class differs from that of Securities Examiner 1 in that an incumbent of the latter is training in examinations and the work is less complex. This class differs from that of Securities Examiner 3 in that the incumbent of the latter conducts more complex examinations.

Responsibilities

• Examines filings for securities offerings, including registration applications, exemption filings, and notice filings to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules.
• Communicates filing deficiencies to issuers.
• Examines applications for industry registrations and exemptions, including broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and issuer-dealers to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules.
• Communicates filing deficiencies to applicants.
• Conducts post-registration examinations to review the books and records of Tennessee based broker-dealers and investment advisers to ensure compliance with the Tennessee Securities Act and Rules.
• Periodically travels within Tennessee to conduct on-site examinations, including overnight stays.
• Works within NASAA's NEMO 2.0 program to conduct examinations.
• Comprehends securities laws and rules and serves as a resource regarding the compliance requirements of the Tennessee Securities Act and Rules, NASAA's Electronic Filing Depository (EFD), and FINRA's Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD).
• Refers Tennessee Securities Act and Rules violations and disqualifications of securities offering filings, industry filings, and post-registration examinations to the Director of Registration.
• Assists in training other Securities Examiners.
• Completes monthly and weekly reports providing statistics on securities offering filings, industry filings, and post-registration examinations.
• Collaborates with other securities regulators to discuss market and industry trends, examination findings, and other relevant industry information and topics.

Qualifications

Education and Experience: Education equivalent to graduation from a standard high school and experience equivalent to six years of full-time professional experience in one or a combination of the following: providing accounting, auditing, or financial services; conducting financial-related investigations; providing compliance services within any investment-related industry; examining financial institutions; or practicing law.

Substitution of Education for Experience: Graduation from an accredited college or university with a bachelor's degree and experience equivalent to two years of full-time professional experience in one or a combination of the following: providing accounting, auditing, or financial services; conducting financial-related investigations; providing compliance services within any investment-related industry; examining financial institutions; or practicing law. OR One year of full-time professional securities examination experience with the State of Tennessee.

Competencies

• Decision Quality
• Instills Trust
• Communicates Effectively
• Action Oriented
• Situational Adaptability

Knowledge, Skills, and Abilities

Knowledges: Economics and Accounting, Customer and Personal Service, English Language

Skills: Critical Thinking, Active Learning and Listening, Time Management, Judgment and Decision Making, Social Perceptiveness

Abilities: Written Comprehension, Deductive Reasoning, Inductive Reasoning

Additional Requirements

A valid motor vehicle license must be required for employment in some positions. State of Tennessee positions that may involve driving responsibilities require candidates to meet the following minimum driver qualifications: A valid driver's license. For the past five years, the candidate's driver record must not have record of the following violations: driving under the influence (DUI), reckless driving, license suspension for moving violations, more than 4 moving violations. Please include your Driver's License Information under the Licenses and Certifications section of your application. Agencies may allow an exception based on other factors.

Pay & Schedule

• Salary (Monthly): $3,631.00
• Salary (Annually): $43,572.00
• Job Type: Full-Time
• City, State Location: Nashville, TN
• Department: Commerce and Insurance