The Senior Examiner with the Indiana Secretary of State, Securities Division directs and manages the statewide investment adviser and broker-dealer examination program. The Senior Examiner will supervise the Examination team while also performing 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 Division.
The Senior Examiner serves to collaboratively assist in aligning the Division with the broader goals of the Agency. Through examination efforts, the Senior Examiner ensures all aspects of consumer protection while maintaining integrity in the marketplace. The Senior Examiner keeps the Chief Deputy Securities Commissioner fully informed as to the examination operations and activities within the Division, researches and recommends policy approaches, develops training protocols and engages in outreach on behalf of the Division and the Agency. The Senior Examiner is expected to have an active role in the North American Securities Administrators Association ("NASAA") and will perform other related duties as assigned.
Pay range this position is $57,500 - $60,000
Three years of experience in a securities related field is required. Five years preferred.
Passage of industry examination (Series 6, 7, 63, 65, or 66) is preferred.
Bachelor’s degree from an accredited institution is required.
Advanced degree preferred.
Prior supervision experience preferred.
Please apply via the Indiana job board: www.workforindiana.in.gov
Job ID # 617042