Responsibilities Examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms Ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations Analyze the firm's books and records, trading practices, fee structure, and compliance policies Investigate Vermont investor complaints and processes state investment adviser registration applications Engage in educational outreach events on behalf of the Division Requirements Bachelor’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field OR Associate’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field AND two (2) or more years of experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience High school diploma or equivalent or higher AND four (4) years or more experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience Core Competencies Demonstrates expertise in compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations, alongside strong analytical skills in financial analysis, auditing, and compliance oversight. Engages effectively in educational outreach and investigation of investor complaints. Highest-signal resume keywords Compliance Oversight Financial Analysis Auditing Experience Regulatory Knowledge Educational Outreach Hard Skills Financial Analysis Auditing Compliance Investigation Record Analysis Fee Structure Analysis Trading Practices Analysis Soft Skills Communication Analytical Thinking Problem Solving Industry Keywords Vermont Uniform Securities Act Vermont Securities Regulations Broker-Dealer Firms Investment Advisory Firms Investor Complaints State Investment Adviser Registration #J-18808-Ljbffr
Securities Examiner I • Montpelier, VT, United States
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