Office Specialist II - Corporate Finance Specialist

Corporate Finance Specialist

Craving a work-life balance with potential remote options? Interested in securities regulation and finance? Want to play a key role in protecting Utah's investors while supporting capital markets? If yes, the Utah Department of Commerce, Division of Securities, wants you to apply!

As a Corporate Finance Specialist, you'll be responsible for reviewing and processing a variety of securities filings and ensuring compliance with Utah's laws and administrative rules. This is an opportunity to engage directly with legal and financial professionals, improve regulatory workflows, and contribute to a high-impact public mission.

After initial training, this position may be eligible to telework up to three days per week, depending on division needs.

Key Responsibilities

• Willing to thoroughly learn securities exemptions to eventually become a subject matter expert.
• Review and process securities filings within statutory timelines (1020 days depending on type).
• Confirm payments and verify completeness of all required documentation (e.g., manually signed forms, notarized U-2s).
• Handle Form D and Unit Investment Trust (UIT) filings via Electronic Filing Depository (EFD) and mutual fund filings via Blue Express.
• Track applications, exemptions, amendments, and renewals using Salesforce.
• Generate and submit monthly reports.
• Manage email and postal communications, including confirmation requests and deposit notices.
• Interpret and apply Utah Code Title 61 - Chapter 2, Administrative Rules R164, and SEC filing requirements.
• Identify and escalate compliance issues such as late filings, unlicensed broker-dealers, and improper compensation disclosures.
• Respond to inquiries from the public, issuers, and legal / financial representatives.

Tools & Systems Used

Minimum Qualifications

Preferred Qualifications

Why You Should Join Our Team

You'll be part of a small, collaborative division that values professional development and attention to detail. You'll gain experience in regulatory systems and financial compliance, while benefiting from flexible work options and a strong public mission.

The State of Utah offers :