Talent.com
Securities Examiner I

Securities Examiner I

Illinois Secretary of StateSpringfield, IL, US
job_description.job_card.30_days_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
  • serp_jobs.filters_job_card.quick_apply
job_description.job_card.job_description

​  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
    • serp_jobs.job_alerts.create_a_job

    Examiner • Springfield, IL, US

    Job_description.internal_linking.related_jobs
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Military Intelligence Officer

    Military Intelligence Officer

    NavyNokomis, IL, United States
    serp_jobs.job_card.full_time
    ABOUT Effective, secure communication in the cyber domain is essential to the everyday operations of military intelligence in America’s Navy. Information Professionals who oversee the seamless opera...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    Border Patrol Agent

    Border Patrol Agent

    United States Customs and Border ProtectionFarmersville, IL, US
    serp_jobs.job_card.full_time
    IMPORTANT NOTICE : Duty assignments available at time of offer may include the Southwest Border including prioritized locations. Border Patrol determines duty assignments at time of offer based on op...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    Surveillance Investigator

    Surveillance Investigator

    Allied UniversalSpringfield, IL, United States
    serp_jobs.job_card.full_time
    US-IL-Springfield | US-IL-Champaign | US-IL-Bloomington.Advance Your Career in Insurance Claims with Allied Universal Compliance and Investigation Services. Allied Universal Compliance and Investiga...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Border Patrol Agent - Earn up to $30,000 in Recruitment Incentives

    Border Patrol Agent - Earn up to $30,000 in Recruitment Incentives

    U.S. Customs and Border ProtectionNokomis, Illinois, US
    serp_jobs.job_card.permanent
    Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    Security Architect, Hardware, OCI, NA

    Security Architect, Hardware, OCI, NA

    OracleSpringfield, IL, United States
    serp_jobs.job_card.full_time
    The Oracle Security CTO group is seeking a Hardware Security Architect (IC6) to safeguard Oracle's global hardware supply chain and architect the next generation of security solutions for Oracle Cl...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_1_day
    • serp_jobs.job_card.promoted
    Senior Director, Security Architecture

    Senior Director, Security Architecture

    OracleSpringfield, IL, United States
    serp_jobs.job_card.full_time
    Oracle seeks a Senior Director of Security Architecture to lead enterprise-wide product security architecture for Oracle Cloud and Applications. You will set the strategy and operate a modern, risk-...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_1_day
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Military Intelligence

    Military Intelligence

    NavyWaverly, IL, United States
    serp_jobs.job_card.full_time
    ABOUT Effective, secure communication in the cyber domain is essential to the everyday operations of military intelligence in America’s Navy. Information Professionals who oversee the seamless opera...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    Claim Specialist - Property Field Inspection

    Claim Specialist - Property Field Inspection

    State FarmSpringfield, IL, United States
    serp_jobs.job_card.full_time
    Being good neighbors - helping people, investing in our communities, and making the world a better place - is who we are at State Farm. It is at the core of how we operate and the reason for our suc...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Border Patrol Agent – Law Enforcement Career, $30,000 Recruitment Incentive

    Border Patrol Agent – Law Enforcement Career, $30,000 Recruitment Incentive

    United States Customs and Border ProtectionChesterfield, IL, US
    serp_jobs.job_card.full_time
    IMPORTANT NOTICE : Duty assignments available at time of offer may include the Southwest Border including prioritized locations. Border Patrol determines duty assignments at time of offer based on op...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    Naval Flight Officer

    Naval Flight Officer

    US Navy ReserveGirard, IL, US
    serp_jobs.job_card.part_time
    As a current or former Naval Flight Officer, there are plenty of part-time opportunities to use your leadership skills and talent in an environment that’s constantly changing.However, in the Navy R...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Intelligence Officer

    Intelligence Officer

    NavyCarlinville, IL, US
    serp_jobs.job_card.full_time
    ABOUT Effective, secure communication in the cyber domain is essential to the everyday operations of military intelligence in America's Navy. Information Professionals who oversee the seamless opera...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Active Nuclear Med Officer

    Active Nuclear Med Officer

    United States ArmyMontgomery County, IL, United States
    serp_jobs.job_card.full_time
    THE ARMY HEALTH CARE ADVANTAGE As a member of the Army health care team, you’ll receive benefits that you won’t be able to get in a civilian career. Challenging Work Feel inspired with great case di...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Explosive Ordnance Disposal Technician

    Explosive Ordnance Disposal Technician

    NavyWaverly, IL, US
    serp_jobs.job_card.full_time
    ABOUT Explosive Ordnance Disposal (EOD) Technicians have expertise in the most conventional and unconventional explosives to ensure the secure disposal of explosive weaponry.They are on call to res...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Submarine Electronics

    Submarine Electronics

    NavyWaverly, IL, United States
    serp_jobs.job_card.full_time
    ABOUT The most secretive of Navy vessels, a submarine requires a select community of specially trained professionals to operate its classified, highly advanced hardware. The Sailors in the Submarine...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Naval Officer

    Naval Officer

    NavyPetersburg, IL, United States
    serp_jobs.job_card.full_time
    ABOUT America’s Navy has the most modern, advanced fleet of ships in the world.Surface Warfare Officers (SWOs) are extensively trained to maintain and operate these ships, their crews, and their sy...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    • serp_jobs.job_card.new
    Electronics Technicians

    Electronics Technicians

    NavyWaverly, IL, United States
    serp_jobs.job_card.full_time
    ABOUT The most secretive of Navy vessels, a submarine requires a select community of specially trained professionals to operate its classified, highly advanced hardware. The Sailors in the Submarine...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_hours
    • serp_jobs.job_card.promoted
    CHILD PROTECTION INVESTIGATOR

    CHILD PROTECTION INVESTIGATOR

    State of IllinoisCarlinville, IL, United States
    serp_jobs.job_card.full_time
    Job Requisition ID : 49812 Closing Date : 10 / 14 / 2025 ​Agency : Department of Children and Family Services Class Title : CHILD PROTECTION SPEC - 07163 Skill Option : None Bilingual Option : None Salary : A...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_1_day
    • serp_jobs.job_card.promoted
    Border Patrol Agent

    Border Patrol Agent

    U.S. Customs and Border ProtectionRiverton, IL, United States
    serp_jobs.job_card.full_time
    Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30