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Secretary of State

Secretary of State

SOS > About SOS > Employment Opportunities Employment Opportunities

Examiner Position

Examiner

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:

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

 

Registrations Attorney

The Registrations Attorney with the Indiana Secretary of State, Securities Division performs merit reviews on securities offerings filed under the Indiana Uniform Securities Act.  The Registrations Attorney also reviews exempt securities notice filings as well as applications for individuals applying to work in the securities industry in Indiana.  The Registrations Attorney serves as the subject matter expert regarding corporation finance and securities registrations and will be required to educate both the public and Division personnel on both areas.  The Registrations Attorney will represent the Division on compliance related enforcement actions.  The Registrations Attorney will communicate and work closely with the corporation finance section of the North American Securities Administrators Association (NASAA).

Qualifications: Minimum requirements include a law degree and admission to practice in the state of Indiana.

Please send resume and cover letter to:

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