SECURITIES EXAMINER I

Position Number : 22124766

County : Pulaski

Posting End Date : 08 / 05 / 2025

Anticipated Starting Salary : $58,700

Arkansas Securities Department - Enforcement Division

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.

Position Information

Job Series : Financial – Insurance Financial Examiners

Classification : Securities Examiner I

Class Code : FIF07P

Pay Grade : SPC01

Salary Range : $58,700 – $86,876

Job Summary

The Securities Examiner I assists in evaluating securities firms, broker-dealers, and investment advisers to ensure compliance with securities 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 securities regulation while contributing to the transparency and stability of financial markets.

Primary Responsibilities

• Assist in conducting examinations of securities firms, broker-dealers, and investment advisers 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 securities laws, regulations, and policies.
• Support the preparation of examination reports by summarizing findings and drafting sections of the report.
• Participate in meetings with securities 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 examination processes and ensure accurate assessments.

Knowledge and Skills

Minimum Qualifications

A bachelor's degree in accounting, finance, economics, business administration, or a related field. Coursework should include subjects such as accounting, financial markets, securities regulation, and investment analysis. A general understanding of financial principles and the securities industry.

Licensure / Certifications

N / A

Additional Notes

Other job-related education and / or experience may be substituted for all or part of these basic requirements, except for certification or licensure requirements, upon approval of the Qualifications Review Committee.

The State of Arkansas is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, age, disability, citizenship, national origin, genetic information, military or veteran status, or any other status or characteristic protected by law.

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