Securities Examiner/Investigator II

Full/Part Time

Full-Time

Regular/Temporary

Regular

Salary Range From

4260.00

Monthly

Salary Range To

4970.00

Monthly

Benefits: Employer paid family health insurance, retirement contributions, life insurance, annual and sick leave, and paid holidays.

Summary of Work

The Securities Department serves North Dakota investors and regulates the investment industry and capital formation process. The position conducts complex and comprehensive examinations and investigations of securities related activities to ensure and enforce compliance with the laws, rules and regulations governing the offer and sale of investment securities and advice by Issuers, Broker-Dealers, and Investment Advisers. The position also investigates unregistered securities activity and investment fraud.

Work schedule: Monday through Friday 8:00 a.m. – 5:00 p.m. with some evenings and weekend work. Occasional overnight travel required.

Minimum Qualifications

Requires a bachelor’s degree in business administration, finance, accounting, criminal justice, or a related field and three years of professional-level work experience in accounting, auditing, financial services, economics, law, or investigations. A bachelor’s degree is considered to be related if, by a review of official transcripts, it is determined that the coursework is similar to that of the degrees listed.

If unable to find qualified candidates at the II level, the agency may consider underfilling the position as a Securities Examiner/Investigator I. The minimum qualifications require a bachelor’s degree in business administration, finance, accounting, criminal justice, or a related field. A bachelor’s degree is considered to be related if, by a review of official transcripts, it is determined that the coursework is similar to that of the degrees listed. Salary Range: $3,586 – $4,184/month.

Preferred Qualifications

• Work experience in the financial services industry.
• Work experience applying and interpreting policy, rules, regulations, or laws.
• Work experience involving examining or audit-related duties.
• Work experience planning, directing, or conducting audits.
• Work experience preparing, examining, and analyzing statements, reports, and documents.
• Work experience performing investigations or gathering evidence.
• Work experience writing work plans and/or reports.

Application Procedures

Applicants must complete the online application. Application materials must be received by 11:59 PM on the posted closing date. All applicants must upload the following documents:

• Resume
• Cover letter
• College transcript (copies or unofficial versions are acceptable)

Application materials must clearly explain how work experience and education are related to the minimum and preferred qualifications and summary of work.

For more information, assistance, or accommodation contact Kelly Mathias, ND Securities Department, 600 East Boulevard Avenue Fifth Floor, Bismarck ND 58505-0510, Telephone Number: 701-328-2929, E-mail: kmathias@nd.gov

Applicants who are residents of ND and eligible to claim veteran’s preference must include Form DD214. Claims for disabled veteran’s preference must also include a current statement of disabled status from the Veteran’s Affairs Office.

State and federal background checks will be conducted on the final candidate.