CORPORATION COMMISSION

Address: 1300 W. Washington St. 3rd Floor,  Phoenix, AZ, 85007

Flexible and Partial Remote Work Schedule Possible

Salary: 50,000-61.000 

Grade: 20

Closing Date: 12/15/2025

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 will also include evaluating registration and licensing applications for compliance with the Investment Management Act and the Securities Act of Arizona. This will involve complex technical review and analysis as well as the review of public and corporate filings. In addition, you will assist in complaint investigations and in managing phone calls and emails received from the public and their subsequent routing when applicable.

· Prior work experience and/or familiarity with securities dealers’ operations and compliance

· Prior work experience and/or familiarity with the financial industry and investment products

· General familiarity with the Investment Management Act and the Securities Act of Arizona

· Knowledge of the principles of auditing and examination of investment advisors and securities dealers

· Ability to interpret and apply state and federal securities laws, rules, regulations and statutes

· 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

Experience in the securities industry is preferred.

-Any offer of employment is contingent upon successful completion of an employment/reference check and confirmation of any degrees/certifications.
-A.R.S. Section 40-101 prohibits Commission employees from having certain financial 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 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 contact ACC Human Resources at humanresources@azcc.gov for assistance. The State of Arizona is an Equal Opportunity/Reasonable Accommodation Employer.