Performs on-site inspections of registered dealers/investment advisers as part of a team to ensure compliance with the provisions of the Texas Securities Act

including conducting in-person interviews and engaging in other communications with firm principals.

Job duties include collection and analysis of documents and financial records obtained from inspections and documentation of such analysis and findings to determine compliance with the statutes and rules administered by the Texas State Securities Board;

telephone and other written communications with firms, including sending and receiving both initial and follow-up letters concerning deficiencies and other inspections findings, and required actions to correct deficiencies until corrections are made and inspections are closed;

review of filings made by registered dealers/investment advisers;

incoming and outgoing telephone and other written communications with the public, witnesses, and complainants

;

investigation of complaints filed against registered dealers/investment advisers; and related work as assigned by the Director of the Inspections and Compliance Division.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited college or university with major course work in accounting, business, finance, or a combination thereof.

Demonstrates clear and effective oral and written

communications skills

. Must have reliable transportation.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

Experience in securities regulation or compliance. Thorough knowledge of state and federal securities law.

HOW TO APPLY (Application procedure, Special requirements):

To be considered for this position, you must submit (1) a completed standard state application, (2) a resume, (3) a State Securities Board Supplement To Application For Employment, (4) a copy of your college transcripts, and (5) a writing sample

, which can be a memo, research paper, thesis,or any sort of document that demonstrates your ability to write reports. The topic of your sample is not limited tosecurities; you may use your judgment as to what kind of sample best showcasesyour abilities.

Applications and the Supplement form may be downloaded from the Agency website at

https://www.ssb.texas.gov

.The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at

human.resources@ssb.texas.gov

.You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327.

Resumes will not be accepted in lieu of a standard state application. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only.

PLEASE NOTE

:All applications must be complete, including job title, salary, history, dates of employment, name of employer, supervisor's name and phone number, and a description of duties performed. Failure to submit this information on your application is considered incomplete and may be rejected. Resumes do not take the place of this required information.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.

Military Crosswalk for Occupational Category - Accounting, Auditing, and Finance (texas.gov)

THE SSB IS AN EQUAL OPPORTUNITY EMPLOYER

STATE SECURITIES BOARD

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