SECURITIES EXAMINER I

Position Summary

The Securities Examiner I assists in evaluating securities firms, broker-dealers, and investment advisers, non-depository mortgage companies and loan officers, and money services businesses in an attempt to ensure compliance with financial institution laws and regulations. This role involves supporting senior examiners by analyzing financial transactions, assessing operational practices, and identifying potential risks. The Securities Examiner I gains hands-on experience in financial institution regulation while contributing to the transparency and stability of financial markets.

Typical Functions Include:

• Assist in conducting licensing and/or examinations of securities firms, broker-dealers, and investment advisers, non-depository mortgage companies and loan officers, and money services businesses under the supervision of senior examiners.
• Review and analyze financial records, investment activities, and operational practices to identify abnormalities, irregularities, or areas of concern.
• Evaluate basic compliance with financial institution laws, regulations, and policies.
• Support the preparation of licensing and/or examination reports by summarizing findings and drafting sections of the report.
• Participate in meetings with firm representatives to discuss findings and gather additional information.
• Stay informed about changes in securities regulations and financial industry practices through training and research.
• Collaborate with team members to enhance licensing and/or examination processes and ensure accurate assessments.

This position requires on-site employment with no remote or hybrid options available.

Preferred Qualifications

• Minimum of 1-2 years of experience in the field of finance.
• A general understanding of financial principles and the securities, mortgage, and money services industries.
• Proficiency with data tools with advanced skills in Microsoft Excel.
• Knowledge of cryptocurrency and basic blockchain familiarity.
• Advanced understanding of Securities products.
• Ability to analyze financial statements and perform financial analysis of accounts.
• Regulatory knowledge and familiarity with Arkansas Securities Act.
• Ability to conduct research for investigative purposes.

Job Responsibilities and Expected Results

The mission of the Department of Commerce is to champion economic opportunities through strategic initiatives and an equitable regulatory environment that attracts and grows businesses, safeguards consumers, enhances workforce quality, and energizes our infrastructure, creating a better quality of life for all Arkansans.

The State Securities Department, a division of the AR Department of Commerce, is responsible for protecting investors from fraud and preserving the integrity of capital markets in Arkansas. The ASD is responsible for the regulation of securities, non-depository mortgages, money services, state-chartered credit unions, and state-chartered savings and loan industries in Arkansas.

Please attach a copy of your college transcript to your application.