CSI Overview We protect Montanans by regulating two of the state's largest industries- securities and insurance. Our mission is to foster a thriving marketplace through education, common sense regulation, and equitable enforcement of the law, ensuring swift accountability for fraudsters and justice for victims. Why Work with Us? The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for a full-time Financial Examiner Supervisor. CSI is a small agency that values unity, effective working relationships, and mutual respect. We challenge our team members to excel as individuals and as part of a supportive team. We offer wonderful mentorship, education, training, and opportunities for career growth. Did we mention the benefits? · Work/left balance · Medical, dental, and vision coverage · Retirement plans · Generous paid vacation, sick leave, and holidays · Pre- tax flexible spending accounts · A vibrant Employee Assistance Program (EAP) · State of Montana employment may qualify you to receive student loan forgiveness under the Public Service Loan Forgiveness. Look hereto learn more and understand whether or not you may qualify. · Additional benefit package information availablehere The Securities Division is responsible for the following: · Educating Montana's consumers and investors on securities. · Investigating securities and financial fraud. · Encouraging capital investment in Montana. · Promoting uniformity in the market through oversight of the securities industry. · Examining the securities industry for compliance with the Montana Securities Act. Position Overview: · In this senior level position, the incumbent is expected to demonstrate extensive knowledge of the securities industry, including the financial firms and professionals that operate in the industry and the fraud and scam trends that affect investors, and all relevant Montana laws. This position supports the agency's mission by supervising, and conducting, the financial regulatory examinations of Montana registered broker dealer and investment adviser firms which analyze the financial condition of the firms, ensure compliance with state and federal securities regulatory requirements, and help establish a well-regulated securities industry in Montana that encourages capital investment. This position will also supervise, and conduct, investigations into allegations of securities fraud or violations of the Montana Securities Act. · The incumbent is expected to handle all public, service provider, and governmental or regulatory inquiries knowledgably and professionally; to train and mentor employees; plan and assign work; and assess employee performance. The incumbent may be asked to represent Montana's securities exams and investigative efforts on a national stage. The incumbent must be willing to attend out-of-state meetings and other industry events or training, such as meetings of the North American Securities Administrators Association (NASAA). Representing the deputy securities commissioner at such events may be required, periodically. What you need to know: · This role will supervise examiners and perform the financial analysis of Montana-domiciled broker dealer firms, and state registered investment adviser firms, including investment adviser firms to detect and act upon conditions that may lead to financial loss or harm Montana investors. · This role will supervise examiners and conduct reviews and analysis of the policies and procedures of broker-dealer firms and investment adviser firms, including investment adviser form brochures, around issues of inter alia, business plans, books and records, client protections, supervision, and proforma financial statements to assess reasonableness and compliance with the Montana Securities Act and its associated rules, the federal Securities and Exchange Acts of 1933 and 1934, Investment Advisors Act of 1940, Investment Company Act of 1940, applicable Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) regulations and laws, and applicable accounting theories. · This role will supervise examiners and conduct analysis of potential securities fraud or violations of the Montana Securities Act through the use of concepts and theories of law enforcement, including both criminal and civil (or administrative) examinations, effective research and analysis tools or skills, and development of innovative examination approaches when necessary; exercise wide latitude of professional independent judgment in the conduct and supervision of investigations and review of evidence; and the preparation of written reports and defense of findings. · Experience in database applications and Microsoft Office software, including Word, Excel, PowerPoint, Teams, and Outlook. · This role will supervise examiners and perform regulatory examinations of broker dealer firms and investment adviser firms, regardless of domicile, for cause. · Ability to use sound judgement, examine technical data, and identify discrepancies. Strong team player with the ability to establish and maintain effective working relationships with other employees, the securities industry, and the public. · Represent and promote the work of the Montana Securities Division to the public in a knowledgeable and professional manner and attend industry conferences and training to enhance industry knowledge and make professional contacts. · Strong communication skills are essential, priority setting is a must, along with the ability to work efficiently and productively with little to no supervision. Who should apply? · If you have knowledge of the Montana Securities Act and promulgated administrative rules there under; the federal Securities and Exchange Acts of 1933 and 1934; Investment Advisors Act of 1940; Investment Company Act of 1940; applicable Financial Industry Regulatory Authority and Securities and Exchange Commission regulations and laws; books and records requirements for broker-dealer and investment advisor firms; and the accounting theories, GAAP, and other procedures established for securities firms. · Knowledge of economic and accounting practices, examining and auditing techniques, and analysis of financial data. Education/Experience Requirements: · Bachelor's degree in accounting, business, finance, or a related field. · Five (5) years of directly relevant experience. · A candidate with at least two (2) years of supervisory experience is/preferred./ · Alternate combinations of education and experience may be considered on a case-by-case basis. How to apply: If you meet the qualifications listed above and have an interest in protecting Montana consumers, please submit the following: · Cover letter · Resume · Minimum two (2) professional references · Writing Sample Note-when uploading and submitting your application materials, please mark your attachments as "relevant" or we will not be able to view them. Applications missing the requested documents will be considered incomplete and will not progress further in the process.Only electronic materials will be accepted. If you need assistance or accommodation, please contact Human Resources. Applicants claiming employment preference are required to provide proper documentation, i.e. Vet Preference (DD214), Disabled Vet document from U.S. Veterans Administration certifying service-connected disability or purple heart medal, disabled (DPHHS Disability Certification), by the closing date. The State of Montana Careers system will generate an email with instructions on how to submit preference documents. The State of Montana has decentralized human resources (HR) system. Each agency is responsible for its own recruitment and selection. Anyone who requires a reasonable accommodation during the application or hiring process should contact the agency's HR staff, as identified on the job listing, or by dialing the Montana Relay at 711. Montana Job Service Offices also offer services, including assistance with submitting an online application. State government does not discriminate based on race, color, national origin, religion, sex, gender identity, or expression, pregnancy, childbirth or medical conditions related to pregnancy or childbirth, age, physical or mental disability, genetic information, marital status, creed, political beliefs or affiliation, veteran status, military service, retaliation, or any other factor not related to merit and qualifications of an employee or applicant. Title: Financial Examiner Supervisor Location: Helena Requisition ID: 26140718
