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Auditor Intermediate / Auditor Senior

State of Minnesota • Saint Paul, MN • 2h ago

Working Title: Auditor Intermediate / Auditor Senior

Job Class: Auditor Intermediate or Auditor Senior

Agency: Commerce Department

Job ID : 88774

Location : St. Paul

Telework Eligible : Yes

Full/Part Time : Full-Time

Regular/Temporary : Unlimited

Who May Apply : Open to all qualified job seekers

Date Posted : 09/12/2025

Closing Date : 09/25/2025

Hiring Agency/Seniority Unit : Commerce Dept

Division/Unit : Financial Institutions - Securities Exams

Work Shift/Work Hours : Day Shift

Days of Work : Monday - Friday

Travel Required : Yes (up to 50%)

Salary Range:

Auditor Intermediate $27.35 - $39.93 / hourly; $57,107 - $83,374 / annually

Auditor Senior $30.23 - $44.48 / hourly; $63,120 - $92,874 / annually

Classified Status : Classified

Bargaining Unit/Union : 214 - MN Assoc of Professional Emp/MAPE

FLSA Status : Non-exempt

Designated in Connect 700 Program for Applicants with Disabilities (https://mn.gov/mmb/careers/diverse-workforce/people-with-disabilities/connect700/) : Yes

The work you'll do is more than just a job.

At the State of Minnesota, employees play a critical role in developing policies, providing essential services, and working to improve the well-being and quality of life for all Minnesotans. The State of Minnesota is committed to equity and inclusion, and invests in employees by providing benefits, support resources, and training and development opportunities.

Hybrid work schedule available, up to 50% telework depending on business needs. Telework can be outside of the state of Minnesota if the candidate lives in a state bordering Minnesota and lives 50 miles or less from the Primary work location. Primary work location will be the Golden Rule Building in St. Paul.

Internal candidates should contact the Human Resources Representative listed on the job posting with questions.

This vacancy is being posted at 2 job classes. Auditor Intermediate and Auditor Senior. Final job class will be determined based on successful applicant's qualifications.

The Auditor Intermediate plays a crucial role in auditing state registered investment advisers and broker dealers to ensure adherence to relevant laws and regulations. This position involves coordinating and facilitating the audit process. Working alongside a team of Auditors, the Auditor Intermediate helps identify compliance issues or potential risks and contributes to the preparation of audit reports and the maintenance of audit records. This includes reviewing and analyzing social media, web presence and available records and presenting identified risks.

The Auditor Senior performs audits for state registered investment advisers and broker dealers to ensure adherence to relevant laws and regulations. Collaborating with the team of Auditors, the Auditor Senior identifies compliance issues or potential risks and contributes in the audit alongside the Examiner in Charge. This includes reviewing and analyzing more complex social media, web presence and available records and presenting identified risks.

Strong analytical abilities, attention to detail and effective interpersonal skills are essential for both positions.

Minimum Qualifications

Auditor Intermediate:

One (1) year of experience performing analysis, exercising judgment, and relying on knowledge in audit, risk or compliance within the financial services industry.

Interpersonal skills sufficient to establish and maintain effective ongoing relationships with the public, stakeholder groups, and department staff.

Demonstrated ability to communicate complicated information effectively verbally and in writing.

Experience collecting, analyzing and presenting financial data.

Proficiency in Microsoft Office.

Auditor Senior

Two (2) years of experience performing analysis, exercising judgement and relying on knowledge in audit, risk or compliance within the financial services industry.

A Bachelor's degree in Accounting Business Administration, Finance, Economics or related field may satisfy one (1) year of experience.

Experience writing and presenting complicated information to technical and non-technical audiences.

High level of experience in planning and conducting audits of financial advisors, investment advisers, and/or broker dealers.

Project management skills sufficient to develop project plans, track progress, and ensure deadlines are met.

Preferred Qualifications

Securities-related designations (e.g. CFP, ChFC, CFA, CIC, CLU).

High level of experience as a financial examiner or company coordinator of marker conduct examinations.

Previously passed a FINRA agent or principal exam, Uniform Securities Agent State Law Examination and/or Uniform Combined State Law Examination

Physical Requirements

Requires occasional moving of articles such as boxes, accounting records, laptop computer, and portable printer.

Additional Requirements

Job offer is contingent upon passing reference checks to verify job-related credentials, a criminal background check and drivers' license check prior to appointment.

AN EQUAL OPPORTUNITY EMPLOYER

Minnesota State Colleges and Universities is an Equal Opportunity employer/educator committed to the principles of diversity. We prohibit discrimination against qualified individuals based on their race, sex, color, creed, religion, age, national origin, disability, protected veteran status, marital status, status with regard to public assistance, sexual orientation, gender identity, gender expression, or membership in a local commission as defined by law. As an affirmative action employer, we actively seek and encourage applications from women, minorities, persons with disabilities, and individuals with protected veteran status.

Reasonable accommodations will be made to all qualified applicants with disabilities. If you are an individual with a disability who needs assistance or cannot access the online job application system, please contact the job information line at 651-259-3637 or email careers@state.mn.us . Please indicate what assistance is needed.

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