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The Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of state registered investment advisers and broker-dealers located in Indiana. The examinations may be announced or unannounced and also may be for cause or as part of a random selection process. The examination will involve a review of the financial books and records of the service provider, a review of client accounts, and potentially an interview with the service provider, to determine compliance with the Indiana Uniform Securities Act. Results of the examinations will be documented in a report for further review by the Securities Division. Testifying in administrative hearings or in court is a possibility.
Three to five years of experience in the financial services industry is preferred. A relevant advanced degree may be substituted for financial services industry experience.
Please send resume and cover letter to:
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204