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Examiner I-II (Junior Examiner)

Primary Responsibilities:
To conduct routine and "for cause" examinations of Missouri-registered investment adviser (IAs) and broker-dealers (B/Ds).
Essential Job Functions:
  • Conduct a combination of remote and on-site examinations.
  • Prepare and issue initial exam notices to firms, gather firm records, analyze and evaluate firm records and systems (e.g., order management system, supervisory alert system), coordinate with Division attorneys to interpret applicable laws and regulations, identify firm deficiencies and non-compliance, prepare and issue deficiency letters summarizing observations, findings, evaluations and recommendations.
  • Prepare monthly reports regarding the status of open examinations.
  • Review and assess Missouri registration applications from IA, IA representatives, BD and BD agents.
  • Coordinate and collaborate, as needed, with Division attorneys and senior examiners.
  • Perform other related duties as assigned.
  • 0-5 years relevant experience.
  • Good organizational and time management skills. Ability to work on multiple examinations simultaneously while meeting deadlines.
  • Ability to work independently and as a team, exercise flexibility, initiative, good judgment and discretion.
  • Strong attention to details.
  • Strong oral and written communication skills to interact effectively with industry professionals, co-workers and management.
  • Willingness to learn and desire to gain knowledge and develop skills to improve work performance.
  • Bachelor's degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred. Advanced degree/certification or experience in financial services industry a plus.
  • Examiner's rank will be determined based on level of education and experience.

The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.

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