Financial Institution Examiner
Address: 1300 W. Washington, Phoenix, AZ 85007
Partial Remote Work and Flex Scheduling Options Available
Hiring Salary: 60,000
Grade: 20
The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions and the registration and oversight of securities, dealers and salespersons, and investment advisers; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.
You will conduct examinations of regulated and licensed securities businesses and persons to ensure compliance with relevant rules, statutes, and laws. Your responsibilities also include evaluating registration and licensing applications for compliance with the Investment Management Act and the Securities Act of Arizona. This involves conducting complex technical review and analysis, reviewing public filings, and assisting in complaint investigations.
| Knowledge, Skills & Abilities (KSAs): |
• Knowledge of the principles of auditing and examination of investment advisors and securities dealers
• Familiarity with the Investment Management Act and the Securities Act of Arizona
• Ability to interpret and apply state and federal securities laws, rules, regulations and statutes
• Prior work experience and/or familiarity with the financial industry and investment products
• Excellent interpersonal communication skills to interact efficiently with members of the public, industry personnel, law enforcement, and others, to both answer questions and elicit information in interviews
• Ability to prepare clear, concise reports
• Highly developed skills in reading comprehension, oral and written communication
• Effective computer skills, particularly in MS Word, Excel, and other MS Office programs
| Pre-Employment Requirements: |
Any offer of employment is contingent upon successful completion of a background/reference check and confirmation of any degrees/certifications.
A.R.S. Section 40-101 prohibits Commission employees from having certain interests in entities that the Commission regulates. Applicants shall be required to disclose any interests they may have in the regulated entities during the application process, and as a condition of employment, to divest themselves of any prohibited interests.
If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business, then the following requirements apply: Driver’s License Requirements.
All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (E-Verify).
- Excellent comprehensive benefits, including a top-ranked retirement plan, low-cost health coverage, supplemental policies such as vision and short-term disability, and generous paid vacation and sick leave programs
- Career and personal development support; multiple training and education opportunities and resources; qualifying Public Service Loan Forgiveness employer
- Interesting, challenging work in a public sector environment with the chance to make a real difference in our state
- We are an Equal Employment Opportunity agency and a recognized Arizona Veteran Supportive Employer
Learn more about the Paid Parental Leave pilot program here. For a complete list of benefits provided by The State of Arizona, please visit our benefits page
This position participates in the Arizona State Retirement System (ASRS) defined benefit pension.
If you have any questions, please feel free to email HumanResources@azcc.gov for assistance.