Financial Securities Examiner Senior
The NDBF is seeking an analytical and stellar communicator to fill a Securities Examiner Senior role in the agency. If you are interested in becoming part of a team where customer service and protecting consumers through fair and common sense supervision are priorities, NDBF is the place for you! We offer an excellent total compensation package, including 13 paid holidays, immediate earning of vacation and sick leave, health, dental, vision, and life insurance options, and educational training opportunities. For more information about the Nebraska Department of Banking and Finance, please visit our website at www.ndbf.nebraska.gov.
Performs routine, sweep, and focused examinations of investment advisers and broker-dealers registered with the State of Nebraska. Analyzes financial records, client investment accounts, compliance programs, books and records, and practices for compliance with the Securities Act of Nebraska and applicable rules.
NOTE: This position may be understaffed for up to one year at the lower Securities Examiner level and hiring rate in the event the candidate possesses lesser overall experience. Securities Examiner - $21.309/ hour Securities Examiner Senior - $26.474/ hour
Examiner Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND one year of professional financial examination experience with a state, federal or self-regulatory organization. One year of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.
Examiner Senior Requirements: Bachelor's or graduate degree from an accredited college or university with at least 24 semester hours in business administration, accounting, finance, economics, auditing, or a closely related field, AND two years of professional financial examination experience with a state, federal or self-regulatory organization. Two years of experience working in compliance for a broker-dealer or investment adviser firm may be substituted for the professional examination experience.