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Securities Examiner I

Securities Examiner I

Illinois Secretary of StateSpringfield, IL, US
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​  Office of the Illinois Secretary of State Alexi Giannoulias Job Title :

  • Securities Examiner I – Securities Department Division :      Registration & Licensing Union :           IFT Location :     421 E Capitol Ave, Springfield, IL – Sangamon County Salary :         $4,127 to $6,710 monthly – commensurate with experience Benefits :     https : / / cms.illinois.gov / benefits / stateemployee.html             Overview :   Assists in conducting studies, analysis, and processing of applications for registration and renewals of Investment Adviser, Investment Adviser Representatives, Mutual Funds, UIT Notifications, and amendments, U-5 forms and federal covered securities, Broker Dealers, salespersons and other registrants with the Department; receives training and assists in analyzing and processing securities registrations and exempt filings and applications; gathers financial data and background information relative to the analysis of applications for registration; receives training to conduct investigative financial reviews of registered entities for suspected fraud and compliance with the Illinois Securities Law; upon training, assists in performing registration related analysis and processing of applications received by the Department .

Duties and Responsibilities :

  • Assists in analyzing and processing routine applications for investment adviser and representative registrations, renewals, and annual notification filings; receives training and assists in drafting deficiency letters for federal covered investment advisers; confers with applicants to advise them of deficiencies; receives training and assists in conducting financial reviews of registered entities for compliance with the Illinois Securities Law.
  • Assists in reviewing and processing broker dealer and salesperson applications and renewals; under supervision, drafts correspondence to registrants; assists in reviewing broker dealer and salespersons disclosures; receives training and assists in reviewing routine applications for registration of investment adviser representatives; processes late filings of termination of salesperson registration using U-5 form.
  • Receives training and assists in processing amendments for investment advisors, federal covered investment advisors, and federal covered securities; receives training and assists in conferring with applicants and / or corresponding to rectify deficiencies; assists in compiling data and other information for auditors and enforcement staff; answers public inquiries regarding CRD and IARD registration.
  • Performs other duties as required or assigned.

    • Specific Skills :

  • Requires elementary knowledge of securities field and accounting and auditing techniques.
  • Requires elementary knowledge of investigatory methods and techniques.
  • Requires elementary knowledge of Illinois Securities Law, and rules and regulations regarding securities registration and securities dealer, salesperson and investment advisor registration.
  • Requires ability to conduct studies of securities and to write reports on findings.
  • Requires ability to analyze and audit financial statements.
  • Requires ability to maintain satisfactory working relationships with employees and the public.
  • Requires willingness to travel and possession of a valid Illinois drivers’ license as required by individual positions within the class.

    • Education and Work Experience :

  • Requires knowledge, skill and mental development equivalent to the completion of four (4) years of college, with coursework in accounting, finance, economics, business administration or business law.

    • Application Process :

  • Please visit  https : / / ilsos.applytojob.gov / apply  to apply by completing the online application; you may also upload a resume, or other attachments as needed .
  • Preference will be given to Illinois residents in the hiring and selection process, in accordance with the Illinois Secretary of State Merit Employment Code.
  • Questions regarding this posting or Illinois Secretary of State employment practices may be directed to Job Counselors at our Personnel offices in Chicago (312-793-5515) or Springfield (217-782-4783).     Equal Employment Opportunity Employer.
  • Applicants must be lawfully authorized to work in the United States .
  • Applicants are considered for all positions without regard to race, color, religion, sex, national origin, sexual orientation, age, marital or veteran status, or the presence of a non-job-related medical condition or disability. ​ Powered by JazzHR
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    Examiner • Springfield, IL, US