SECURITIES EXAMINER IV - DOWNTOWN, OAHU

Duties Summary

Independently reviews and examines applications and filings for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors. Conducts audits and examinations of securities broker-dealers and investment advisers. Makes final recommendations on applications which are complete and do not have any legal issues. On more complex applications/examinations such as those presenting questions requiring legal interpretation, questionable financial status of the applicant, etc., does the preliminary staff work, makes preliminary evaluations and recommendations and assists the supervisor in discussion with the applicants and their legal representative regarding nonconformance to statutory and regulatory requirements.

Minimum Qualification Requirements

• Legal Authorization To Work Requirement: The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States.
• Basic Education Requirement: A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.
• Specialized Experience: Two and one-half (2 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.
• Prerequisite Knowledge and Abilities Required: In addition to the knowledge required at the III level, comprehensive knowledge of laws, rules and regulations covering the registration of securities offerings, and registration of business and operational requirements of securities broker-dealers; investment advisers and their representatives; characteristics of various types of securities and their related risk factors; and sound investment principles.

Substitutions Allowed

• Relevant substitutions as described in the Minimum Qualification Requirements will apply.

Other Information

• The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities.
• To qualify for the Public Service Loan Forgiveness (PSLF) Program, the individual must have made 120 qualifying payments while employed by a qualifying employer.
• The Department of Human Resources Development (HRD) will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications as part of our ongoing efforts to increase operational efficiency, promote the conservation of green resources, and minimize delays and costs.
• In-person interviews and/or further testing in Hawaii may be required at the discretion of the hiring agency.
• If in-person interviews and/or further testing is a requirement, applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person and at their own expense in this required phase of the selection process.
• Applicants are encouraged to submit their applications as soon as possible.
• In addition to employment availability and score, the referral of qualified applicants may be based upon other factors including date of receipt of the application.

Testing Information

• The examination for this recruitment will be conducted on an unassembled basis where the examination score is based on an evaluation and rating of your education and experience.
• It is therefore important that your employment application provide a clear and detailed description of the duties and responsibilities of each position you held.