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Securities Examiner Senior

Performs routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska. Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules. Conducts exit interviews with directors, management, and/or compliance personnel and provides specific written reports and verbal recommendations. Prepares written reports detailing examination findings and best practices, recommend corrective action to address deficiencies, and counsel firms on compliance. Prepares referrals for investigation, assists with investigations, and assists in preparing letters of caution or admonishment, as needed. Conducts "for cause" exams of investment advisers and broker-dealers in response to consumer allegations of fraud, conversion of assets, theft, and sales practice violations. Assists Deputy Director-Securities Bureau in establishing examination policies and procedures, assessing firm risk, setting exam schedules, identifying industry trends and issues, and other duties as assigned. Occasional travel is required, including some overnight travel. 

Examiner Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND one year of professional financial examination experience with a state, federal or self-regulatory organization. One year of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience. 

Examiner Senior Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND two years of professional financial examination experience with a state, federal or self-regulatory organization. Two years of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.