SUPERVISING SECURITIES EXAMINER - DOWNTOWN, OAHU

About the role

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.

Responsibilities

• Interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria
• Understand accounting and financial reports
• 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
• Deal effectively with a wide range of individuals and groups
• Plan, assign, review and evaluate the work of others

Requirements

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

Qualifications

• In addition to the knowledge required at the IV level, must be able to plan, supervise and review the activities of securities examiners to ensure that work performed is in compliance with applicable statutory and regulatory requirements
• Must be able to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules
• Must be able to communicate effectively both orally and in writing
• Must be able to deal effectively with a wide range of individuals and groups
• Must demonstrate aptitude or potential for the performance of supervisory duties

Skills

• Ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules
• Ability to review and evaluate securities requiring the application of State of Hawaii securities laws and rules
• Ability to review business records and financial documents to determine compliance with legal requirements
• Ability to communicate effectively both orally and in writing
• Ability to deal effectively with a wide range of individuals and groups
• Aptitude or potential for the performance of supervisory duties

Benefits

• Paid Holidays
• Paid Vacation
• Paid Sick Leave
• Other Leaves
• Health Insurance
• Group Life Insurance
• Retirement Plan
• Premium Conversion Plan
• Flexible Spending Accounts
• Transportation Benefits
• Deferred Compensation
• Temporary Disability Insurance
• Social Security

Pay

$6,393 to $7,778 per month (SR-24, Step D to I)

Schedule

Continuous recruitment may be closed at any time.