Securities Examiner

Responsibilities

• Perform financial and market conduct examinations and data analysis related to various entities.
• Initiate and lead thorough investigations into potential violations of state securities laws and regulations.
• Cover field and desk examinations of investment advisors and securities broker-dealer offices while maintaining compliance with FINRA and SEC standards.
• Review, analyze, and investigate consumer complaints, reports, and inquiries to determine if unfair trade practices or securities law violations have occurred.
• Prepare and refer detailed fact-based investigative cases for administrative action for potential violations of securities laws.
• Maintain compliance with FINRA and SEC standards.
• Conduct risk-based insurance market conduct analysis and examinations consistent with the NAIC Market Regulation Handbook.

Requirements

• Recent experience in financial security investigations, insurance investigations, regulatory compliance, financial crimes investigation, or a related enforcement field.
• A strong understanding of securities, insurance, and financial security principles, practices, and state regulatory requirements.
• The ability to analyze complex business conduct, interpret legal statutes, conduct effective interviews, and prepare detailed, well-supported investigative reports.

Qualifications

• Graduation from an accredited four-year college or university with a degree in insurance, accounting, actuarial science, risk management, finance, or business.
• A total of four years of education and/or full-time experience, where thirty semester hours of accredited college or university course work in insurance, accounting, actuarial science, risk management, finance, or business equals one year of full-time experience in insurance industry examination, financial analysis, quality assurance, enterprise risk management, or corporate governance.

Benefits

• Strong team culture and respect for work-life balance.
• A competitive total compensation package for all full-time employees, including Iowa Public Employees Retirement System (IPERS) Retirement, Investors Club (RIC) Health, Dental, and Vision Insurance, Vacation and Sick Leave, Paid Holidays (9 days/year), Hybrid Work opportunities.

Pay

• Competitive salary based on qualifications and experience.

Schedule

• Hybrid work opportunities available.