SUPERVISING SECURITIES EXAMINER - DOWNTOWN, OAHU
Duties Summary
Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors and/or audit broker-dealers, issuers and investment advisers to ensure compliance with applicable statutory and regulatory requirements.
Minimum Qualification Requirements
Legal Authorization To Work Requirement: Must be a citizen, national, or permanent resident alien of the United States, or eligible under federal law for unrestricted employment in the United States.
Basic Education Requirement: Bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.
Specialized Experience: Three and one-half (3 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.
Prerequisite Knowledge and Abilities
Knowledge of laws, rules and regulations covering the sale of securities; business operations and practices of broker-dealers, investment advisers and their representatives.
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.
Supervisory Aptitude
Demonstration of aptitude or potential for the performance of supervisory duties through successful completion of regular or special assignments which involve some supervisory responsibilities or aspects of supervision, e.g., by serving as a group or team leader, by the completion of training courses in supervision accompanied by application of supervisory skills in work assignments; and/or by favorable appraisals by a supervisor indicating the possession of supervisory potential.
Other Information
The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities.
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.
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.