Financial Examiner II (posting #10-25) - Austin

Financial Examiner II

Job Posting 10-25

Class Code: 1102

Starting Wage: $5,416.67/Month
(State benefits include 100% of health care premium paid for eligible employees and opportunity for retirement payments for life as described by the attached brochure.)

Opening Date: 3/19/2025
Closing Date: Until filled

Agency: STATE SECURITIES BOARD
Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 208 E 10th Street, 5th Floor, Austin, Texas 78701

Number of Openings: 1
Duration: Regular/Full-time
Hours/Week: 40

FLSA Exempt: Yes
Travel Required: Yes, up to 10%
Texas Drivers License Required: Yes

JOB DESCRIPTION:

Work will involve the review and analysis of securities offerings as well as applications for registration by broker/dealers, investment advisers, agents and investment adviser representatives to determine compliance with statutes and rules administered by the Texas State Securities Board. The position requires the financial examiner to review financial records and information contained on uniform forms and related documents to determine compliance with applicable regulations and to investigate suspected violations of the Texas Securities Act. Extensive written and oral communication with attorneys and applicants is required in connection with the staff's analysis of securities offerings and applicants' qualifications and business repute. The financial examiner will be expected to work independently and make sound recommendations to his or her supervisors. The financial examiner will be responsible for other work as assigned.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited college or university with major course work in accounting, business, finance, economics, or a related field. Two or more years of experience in securities regulation, licensing or compliance. Strong interpersonal and writing skills. Work or school history that demonstrates a strong work ethic, dedication, and self-motivation. Experience in a position that involves frequent communication with multiple people and working under deadlines. Experience in financial examination, accounting, or auditing work. Knowledge of the Texas Securities Act, the Rules and Regulations of the Texas State Securities Board or state or federal securities law.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

Proficient understanding of The Texas Securities Act, the Rules and Regulations of the Texas State Securities Board or state or federal securities law.

HOW TO APPLY (Application procedure, Special requirements):

To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board “Supplement To Application For Employment”, (3) a copy of your college transcripts, and (4) a writing sample, which can be a memo, research paper, thesis, or any sort of document that demonstrates your ability to write reports. The topic of your sample is not limited to securities; you may use your judgment as to what kind of sample best showcases your abilities.

Applications and the Supplement form may be downloaded from the Agency website at https://www.ssb.texas.gov. The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at human.resources@ssb.texas.gov. You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327. Resumes will not be accepted in lieu of a standard state application. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only.

PLEASE NOTE: All applications must be complete, including job title, salary, history, dates of employment, name of employer, supervisor’s name and phone number, and a description of duties performed. Failure to submit this information on your application is considered incomplete and may be rejected. Resumes do not take the place of this required information.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.

Military Crosswalk for Occupational Category - Accounting, Auditing, and Finance (texas.gov)

THE SSB IS AN EQUAL OPPORTUNITY EMPLOYER

Job Type: Full-time

Pay: $5,416.67 per month

Benefits:

• 401(k)
• Dental insurance
• Disability insurance
• Employee assistance program
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Retirement plan
• Vision insurance

Schedule:

• Monday to Friday

People with a criminal record are encouraged to apply

Work Location: In person

Salary : $5,417