Senior Compliance Examiner

Protect Maine investors from fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets with the Maine Office of Securities, an agency within the Department of Professional and Financial Regulation. 

The Senior Compliance Examiner conducts examinations of licensed investment advisers, broker-dealers and their representatives to ensure that these securities firms and professionals serve Maine clients ethically, responsibly, and in compliance with applicable laws and regulations. If you are detail-oriented, personable, a team player with strong writing and communication skills, and want to use your industry experience to benefit Maine investors, come join our team! 

The Office of Securities is a collaborative and supportive workplace. Hybrid work schedules are available after an initial training period.

Primary responsibilities include:  

• Conducting field and desk examinations of broker-dealers and investment advisers – including review of books and records, internal controls, client files, and correspondence – to ensure compliance with state law, rules and regulations.
• Preparing examination reports with findings, recommendations, supporting data, and financial analysis.
• Testifying at hearings to explain examination findings.
• Reviewing license applications for investment advisers, broker-dealers and representatives.
• Providing guidance and feedback to securities firms and industry professionals.
• Recommending changes to laws, rules, policies and procedures that protect investors and respond to industry trends.
• Assisting investigative staff to review and analyze financial and transactional information as needed to address consumer complaints.

Skills or knowledge required:

• Experience, training or education in the securities or other financial services or accounting fields.
• Analyzing financial records and data.
• Writing clear, effective and precise reports.
• Managing multiple tasks and priorities.

Minimum qualifications:

A six (6) year combination of education, training, and/or experience in the securities or other financial services industry, securities or other financial services regulation, finance, law, accounting, or auditing.

Preference will be given to applicants with:

• Financial examination or securities industry experience.
• Strong working knowledge of Excel and comfort with Microsoft collaboration tools including Teams, SharePoint, and OneDrive.

Contact information:

Questions about this position should be directed to Cathy Williams, Director of Examinations & Licensing, at cathy.williams@maine.gov