Securities Examiner

About the role

The Senior Securities Examiner position with the Maine Office of Securities conducts examinations of and reviews licensing applications from investment advisers, broker-dealers and their representatives. The Office is an agency within the Department of Professional and Financial Regulation.

Responsibilities

• Conduct examinations of investment advisers, broker-dealers and their representatives
• Review licensing applications from investment advisers, broker-dealers and their representatives
• Help prevent fraudulent, deceptive and unethical practices in the securities and investment industry
• Promote healthy capital markets

Qualifications

• Detail-oriented team player
• Strong communication skills

Benefits

• Collaborative and supportive workplace
• Excellent training opportunities
• Work/life balance
• Hybrid work schedule available after the initial training period

Pay

$51,688.00-$74,467.20/Annually