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Securities Examiner

Securities Examiner

State of OregonSalem, OR, US
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Securities Examiner

Our mission is to equitably protect and empower consumers and workers while maintaining a predictable yet innovative regulatory environment for the businesses we regulate.

The Department of Consumer and Business Services (DCBS) is a progressive business regulatory state agency dedicated to the mission of protecting and serving Oregon's consumers and workers while supporting a positive business climate. The department administers state laws and rules governing workers' compensation, occupational safety and health, financial institutions, insurance companies, and building codes. The department has consumer protection and education programs, offices, and ombuds to help consumers, injured workers, and businesses.

This position is with the Division of Financial Regulation (DFR). DFR's mission supports that of the department by protecting Oregonians' access to fair products and services through education, regulation, and consumer assistance. The division is responsible for ensuring the safety and soundness of financial institutions, the availability and affordability of financial products, and the fair treatment of consumers. Functions include licensing, regulating, and monitoring the conduct of banks, credit unions, financial services providers, health care service contractors, insurance companies, and licensed or registered agents of such entities.

This position is represented by the Service Employees International Union (SEIU).

Recruitment Timeline :

  • These dates are approximate and are subject to change.

Recruitment closes : June 29, 2025

1st round interviews : week of July 7, 2025

2nd round interviews : week of July 21, 2025

Anticipated start date : August 1, 2025

What's in it for you :

  • Rewarding work in a productive and creative environment
  • Colleagues who are passionate about public service
  • Work / life balance, 11 paid holidays a year, and a competitive benefits package
  • Advancement and learning opportunities that will help grow your career with the State of Oregon
  • Possible eligibility for the Public Service Loan Forgiveness Program
  • This position is eligible to telework on a part-time basis once the incumbent has gained the proficiency to perform work independently. However, regular, scheduled office hours are also required.

    Here's what you will do :

    As a Securities Examiner, you will :

  • Examine securities broker-dealers, investment advisers and salespersons for licensing and regulatory purposes and investigate complaints
  • Assist other investigators and examiners in investigating, analyzing, and verifying all components under investigation / examination
  • Independently conduct the investigation / examination including preparation of the examination report
  • Assist in other functions such as licensing and securities registration
  • Here's what you need to qualify :

    Minimum Qualifications :

  • Four years of professional level experience in Administrative Law, Finance, Securities, Accounting, Banking or related field
  • OR

  • Two years of professional level experience in Administrative Law, Finance, Securities, Accounting or Banking AND a Bachelor's Degree in Business, Banking, Economics, Finance, Accounting or related field
  • Requested Skills :

  • Thorough knowledge of securities laws, regulations, and securities industry or regulatory experience
  • Experience as a securities examiner
  • Good oral and written communication skills
  • Ability to work well independently and as part of a team
  • Application information :

  • A resume and cover letter are required for this job posting . Please attach them in the "Resume / Cover Letter" section of the application.
  • Please ensure that you clearly demonstrate in your application materials that you meet the qualifications and requested skills listed above and that you follow all instructions carefully. Only complete applications received by the posted application deadline date will be considered.
  • You may be asked to submit a skills assessment, a writing sample, or a video interview as part of the application screening process.
  • Additional information :

  • Per the Pay Equity Law passed in 2017, a pay equity analysis will be conducted to determine what pay step the successful candidate will be offered. The analysis will be based on the relevant experience, education, training, and certifications documented in the application materials. On average, candidates new to state service will most likely be offered compensation in the lower to mid-level of the salary range.
  • The salary range listed is the non-PERS eligible rate. If you're already a participating PERS member or once you become PERS eligible after 6 months of employment, the salary range will increase by 6.95% and the required 6% employee retirement contribution will be deducted from your pay.
  • The successful candidate must have a valid driver's license and a satisfactory driving record. Before an offer of employment, DCBS may request that you provide an official driving record.
  • This position is subject to a fingerprint background check for any convictions directly related to its duties and responsibilities. Only job-related convictions will be considered and will not automatically disqualify the candidate.
  • Eligible veterans who meet the qualifications will be given veterans' preference. For further information, please see the following website : Veterans Resources.
  • We hire preferred workers! For more information, please visit our website : Preferred Worker Program.
  • The Department of Consumer and Business Services (DCBS) does not offer VISA sponsorships. If your employment authorization and documentation is contingent on sponsorship now or in the future, you will not meet our agency employment eligibility standards. Within three days of hire, you will be required to complete the US Department of Homeland Security's I-9 form confirming authorization to work in the United States. DCBS will use E-Verify to confirm that you are authorized to work in the United States.
  • Helpful links and contact information :

    Learn more about DCBS

    DCBS Career Fairs and Workshops

    Understanding the State Application Process

    Help and Support webpage

    For more information you may contact us by e-mail at DCBS.Recruiting@dcbs.oregon.gov.

    DCBS is fully committed to attracting, retaining, developing, and promoting the most qualified candidates without regard to their race, gender, color, religion, sexual orientation, national origin, age, physical or mental disability, or veteran status. For more information, please visit our diversity, equity and inclusion webpage.

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