Investor Education Coordinator

The Investor Education Coordinator is responsible for implementing the Investment Watch Program for the Secretary of State.  This involves using creative thinking and methods to present the fraud prevention message of the Secretary of State to constituent groups.  The Investor Education Coordinator will also foster current and potential partnerships to plan speaking events and presentations.  Job duties include representing the Secretary of State at constituent events, media messaging, drafting constituent related communications and publications, and integrating investment messaging into outreach opportunities.  Job requirements include a bachelor’s degree. A background in communications or marketing is preferred.

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 W. Washington Street E-111
Indianapolis, IN 46204
aglass@sos.in.gov

Investment Adviser Examiner

The Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of state registered investment advisers.  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 law degree may be substituted for financial services industry experience.

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
aglass@sos.in.gov

Enforcement Investigator

The Enforcement Investigator with the Indiana Secretary of State, Securities Division will perform investigations into violations of the Indiana Uniform Securities Act and the Indiana Loan Broker Act that arise as a result of information received by the Securities Division.  The Enforcement Investigator will work in conjunction with an Enforcement Attorney to determine the plan of the investigation, conduct interviews, gather evidence, prepare reports, and potentially testify in administrative hearings, civil trials, and criminal prosecutions.  A Bachelor’s degree from an accredited college or university is required.   Knowledge of accounting principles and the ability to compile and analyze large amounts of financial data and three to five years of investigative experience is preferred. 

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 W. Washington Street E-111
Indianapolis, IN 46204

aglass@sos.in.gov