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Compliance Examiner

Compliance Examiner

Missouri Secretary of StateJefferson City, MO, US
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Job Description

Job Description

Primary Responsibilities :

Are you passionate about protecting investors and ensuring the integrity of financial markets? Join our team as a Securities Compliance Examiner and play a crucial role in safeguarding Missourians' financial interests. This dynamic position offers the opportunity to conduct impactful examinations of investment advisers and broker-dealers, ensuring compliance with state and federal regulations.

Essential Job Functions :

  • Conduct thorough on-site and remote examinations of Missouri-registered investment advisers (IAs) and broker-dealers (BDs)
  • Analyze complex financial records and systems to identify non-compliance and potential risks
  • Collaborate with Division attorneys to interpret and apply securities laws and regulations
  • Prepare comprehensive examination reports and deficiency letters
  • Serve as a liaison between the Securities Division and the investment services industry
  • Act as a financial services industry caretaker, guiding and supporting advisers to thrive within the framework of Missouri securities laws
  • Contribute to the continuous improvement of examination processes and procedures

Qualifications :

  • Bachelor's degree in Financial Planning(preferred), or Accounting, Finance, Economics, Business Administration, or related field
  • 0-5 years of relevant experience in financial services, compliance, or regulatory environments
  • Strong analytical and problem-solving skills
  • Excellent written and verbal communication abilities
  • Exceptional attention to detail and organizational skills
  • Ability to work independently and collaboratively in a fast-paced environment
  • Proficiency in Microsoft Office Suite and financial analysis software
  • Advanced degree or industry certifications (e.g., CFA, CFP, Series 7 / 63 / 65 / 66) and / or experience in financial services industry or regulatory agencies

    • Career Development :

  • This role offers a unique opportunity for professional growth. The first 12-24 months will be spent in our Jefferson City office for intensive training. Upon successful completion of the training phase, you'll have the exciting option to relocate to either the St. Louis or Kansas City Metropolitan area, allowing you to choose the location that best suits your lifestyle.

    • The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.

    Job Posted by ApplicantPro

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    Examiner • Jefferson City, MO, US