SECURITIES EXAMINER IV - DOWNTOWN, OAHU

About the role

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.

Responsibilities

• 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.
• Performs preliminary staff work, makes preliminary evaluations and recommendations for more complex applications/examinations.
• Aids the supervisor in discussions with applicants and their legal representatives regarding non-conformance to statutory and regulatory requirements.

Requirements

• Legal Authorization to Work
• Bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.
• 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.

Qualifications

• In-depth 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.
• The ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups.

Skills

• Ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria.
• Ability to understand accounting and financial reports.

Benefits

With the State of Hawai'i, employees who are members of the civil service enjoy a range of benefits including:

• Paid holidays, paid vacation, paid sick leave, jury duty, and bereavement leave.
• Health insurance, group life insurance, retirement plan, premium conversion plan, flexible spending accounts, transportation benefits, deferred compensation, temporary disability insurance, and social security contributions.

Pay

$5,680 to $6,914 per month (SR-22, Step D to I)

Schedule

This is a continuous recruitment with the possibility of being closed at any time. Notifications of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.