JOB DESCRIPTION:

Conduct investigations including complaints filed against registered dealers, agents, investment advisers, and investment adviser representatives. Job duties include requesting records related to various disclosure events, including customer complaints, termination and criminal matters; Communicating with legal counsel and Compliance Officers of investment adviser/broker dealer firms; Reviewing and analyzing records and conduct to determine whether any violations occurred pursuant to the Texas Securities Act or statutes and rules administered by the Texas State Securities Board; Preparing analysis for recommendation of public administrative order and nonpublic agreements. Cases often involve complex securities issues requiring knowledge of the securities industry; works under general supervision with considerable latitude for the use of initiative and independent judgment. The Examiner will work closely with the Attorneys of the Legal & Investigations Division on subpoenas, preparing evidence/documentation, testimonies, calling witnesses, and other duties assigned. Finally, this position will work closely with the Registration Division and Inspections and Compliance Division and on legal referrals sent from those divisions.

** Office location choice of Austin, Dallas, or Houston (please specify choice on the application). The Examiner will be supervised from the Austin office and report directly to the Deputy Securities Commissioner.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited college or university with major course work in accounting, business, finance, or a combination thereof. Demonstrates clear and effective oral and written communications skills.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

Experience in securities regulation or compliance. Thorough knowledge of state and federal securities law.

HOW TO APPLY (Application procedure, Special requirements):

To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board “Supplement To Application For Employment”, (3) copies of college transcripts for all listed colleges (school and degree awarded must be identifiable), (4) a writing sample of no more than ten pages, which can be a memo, research paper, thesis, or any sort of document that demonstrates your ability to write reports.  The topic of your sample is not limited to securities; you may use your judgment as to what kind of sample best showcases your abilities, and (5) a resume.

Applications and the Supplement form may be downloaded from the Agency website at https://www.ssb.texas.gov.  The preferred method to submit completed applications, along with the Supplement, transcripts, writing sample, and resume is via email at human.resources@ssb.texas.gov.  You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327.  Resumes will not be accepted in lieu of a standard state application or supplement. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only.

PLEASE NOTE:

ALL fields on the application and supplement must be filled out completely, using NA when applicable, and both documents signed.  Transcripts should identify the college(s) and the degree awarded. Incomplete and/or missing forms, or unidentifiable transcripts will not be accepted by the hiring department.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.

Military Crosswalk for Occupational Category – Accounting, Auditing, and Finance

THE SSB IS AN EQUAL OPPORTUNITY EMPLOYER