What are the responsibilities and job description for the Registration Specialist - Investor Protection Unit/Fraud and Consumer Protection Div. position at State of Delaware?

Introduction

Delaware's Attorney General, the State's chief law enforcement officer, has a broad responsibility to combat crime, uphold civil rights, safeguard families, fight fraud, and protect consumers in the First State.

In meeting this mission, Attorney General Kathy Jennings is supported by teams of talented lawyers and staff in the Criminal, Civil, Family, Fraud and Consumer Protection, and Civil Rights and Public Trust Divisions. Each of the more than 500 staff who work in the Office of the Attorney General are dedicated to serving all Delawareans with integrity and passion.

Deputy Attorneys General, with critical support from criminal special investigators, victim service specialists, paraprofessionals, and administrative staff, prosecute criminal cases, enforce consumer laws, provide counsel to state agencies, ensure the public's access to open government, protect the abused, and much more.

Summary Statement

The Delaware Department of Justice is seeking to fill the position of Registration Specialist within the Investor Protection Unit, part of the Fraud & Consumer Protection Division based in New Castle County.

The Investor Protection Unit is responsible for enforcing Delaware’s securities laws, safeguarding investors from fraud, and overseeing the registration and regulation of investment professionals operating in the state. The Unit investigates potential violations, conducts examinations, and engages in outreach to ensure that investors are informed and protected.

Preferred Qualification

These are preferred qualifications; applicants who meet the minimum job requirements will still be considered, even if they do not meet these preferences.

1. Bachelor’s degree in accounting, finance, or business administration is preferred.

2. One year of professional experience in investigating financial fraud or working in a related regulatory or compliance role is also preferred.

Essential Functions

The Registration Specialist in the Fraud and Consumer Protection Division, Investor Protection Unit, in New Castle County is responsible for processing all applications for all individual registrations to do business in Delaware as a broker-dealer agent, investment advisor representative, or issuer agent. The Registration Specialist also acts as the education and outreach coordinator for the Unit and assists with Investment Advisor examinations.

The Registration Specialist prepares and submits timely reports and is expected to maintain professional contacts and strong lines of communication and coordination with state and federal securities regulators and securities self-regulatory organizations. With respect to Outreach, the Registration Specialist will help review, create and / or select outreach materials for events, sign up to participate and represent the Unit in community events, and be prepared to speak with members of the public about the Unit’s role. The successful candidate will also perform other duties as assigned. We seek an individual with a strong commitment to working in the public interest.

Job Requirements

1. Applicant must have at least one year of experience managing multiple tasks or projects simultaneously, including maintaining records, tracking deadlines, or coordinating logistics in a professional setting.

2. Applicant must have at least one year of experience using Microsoft Office Suite (specifically Word, Excel, and Outlook) in a professional setting.

3. Applicant must have at least one year of experience working independently with minimal supervision, including managing workload effectively and consistently meeting deadlines within strict timeframes.

Additional Posting Information

Please be sure to upload a recent copy of your resume, as you complete the application process for this posting.
This position is exempt from the State of Delaware Merit System.
This posting may close before 4/17/2025 upon filling the vacant position.

Conditions of Hire

Criminal background check: A satisfactory criminal background check is required as a condition of hire.
Direct deposit of paychecks is required as a condition of hire.
Applicants must be legally authorized to work in the United States.

Benefits

Department of Justice Benefits Include:

May be eligible Loan forgiveness (State and Federal).
State of Delaware healthcare plan.
State of Delaware pension plan.
Over 4 weeks of vacation per year.
3 weeks of paid sick leave per year.
12 weeks of paid parental leave.

To learn more about the comprehensive benefit package please visit our website at https://dhr.delaware.gov/benefits/

Accommodations

Accommodations are available for applicants with disabilities in all phases of the application and employment process. To request an auxiliary aid or service please call (302) 739-5458. TDD users should call the Delaware Relay Service Number 1-800-232-5460 for assistance.

The State of Delaware is an Equal Opportunity employer and values a diverse workforce. We strongly encourage and seek out a workforce representative of Delaware including race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression.

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Registration Specialist - Investor Protection Unit/Fraud and Consumer Protection Div.

What are the responsibilities and job description for the Registration Specialist - Investor Protection Unit/Fraud and Consumer Protection Div. position at State of Delaware?

Introduction

Summary Statement

Preferred Qualification

Essential Functions

Job Requirements

Additional Posting Information

Conditions of Hire

Benefits

Accommodations

What is the career path for a Registration Specialist - Investor Protection Unit/Fraud and Consumer Protection Div.?

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