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Secretary of State

Secretary of State

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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