SECURITIES EXAMINER IV - DOWNTOWN, OAHU

Job Title

Recruitment Information

Salary: $5,680 to $6,914 per month (SR-22, Step D to I). Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.

Duties Summary

Independently reviews and examines applications and filings for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors. Conducts audits and examinations of securities broker-dealers and investment advisers. Makes final recommendations on applications which are complete and do not have any legal issues. On more complex applications/examinations such as those presenting questions requiring legal interpretation, questionable financial status of the applicant, etc., does the preliminary staff work, makes preliminary evaluations and recommendations and assists the supervisor in discussion with the applicants and their legal representative regarding nonconformance to statutory and regulatory requirements.

Minimum Qualification Requirements

To qualify, you must meet all of the following requirements: Legal Authorization to Work Requirement: The State of Hawaii requires all persons seeking employment with the government of the State shall be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the United States. Basic Education Requirement: A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing. Specialized Experience: Two and one-half (2 ) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports. Examples of Qualifying Experience may include, but are not limited to: Professional experience in reviewing, analyzing, or preparing securities offerings; Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities; Professional experience in the investigation and/or prosecution of securities violations. Prerequisite Knowledge and Abilities Required: In addition to the knowledge required at the III level, comprehensive knowledge of laws, rules and regulations covering the registration of securities offerings, and registration of business and operational requirements of securities broker-dealers; investment advisers and their representatives; characteristics of various types of securities and their related risk factors; and sound investment principles. The knowledge requirement for the Securities Examiner III can be viewed by clicking on the link below. Relevant substitutions as described in the Minimum Qualification Requirements will apply. To view the MQRs in their entirety, please CLICK HERE (Download PDF reader).

Other Information

The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If you require reasonable accommodations in completing an application, any pre-employment testing, or otherwise participating in the selection process, please call View phone number on talent.com for assistance. PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM The PSLF Program is a federal program that is intended to encourage individuals to work in public service by forgiving the balance of their federal student loans. To qualify, the individual must have made 120 qualifying payments while employed by a qualifying employer. For more information, please click: ELECTRONIC NOTIFICATION TO APPLICANTS The Department of Human Resources Development (HRD) will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications as part of our ongoing efforts to increase operational efficiency, promote the conservation of green resources, and minimize delays and costs. Please ensure that the email address and contact information you provide is current, secure, and readily accessible to you. We will not be responsible in any way if you do not receive our emails or fail to check your email-box in a timely manner. In addition, please be aware that you may no longer receive notification about applications submitted if you choose to disable the Job Application Emails feature in your Account Settings. TESTING INFORMATION The examination for this recruitment will be conducted on an unassembled basis where the examination score is based on an evaluation and rating of your education and experience. It is therefore important that your employment application provide a clear and detailed description of the duties and responsibilities of each position you held. In-person interviews and/or further testing in Hawaii may be required at the discretion of the hiring agency. If in-person interviews and/or further testing is a requirement, applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person and at their own expense in this required phase of the selection process. Applicants are encouraged to submit their applications as soon as possible. In addition to employment availability and score, the referral of qualified applicants may be based upon other factors including date of receipt of the application.

Job Benefits with the State of Hawaii

The State of Hawaii offers its employees who are members of the civil service a range of benefits. Some benefits are offered as a result of collective bargaining agreements and changes may occur. A summary of these benefits, which is based on full-time employment, is listed below. Note: Benefits for NON-CIVIL SERVICE appointments will be provided by the hiring department at the time of interview. With Civil Service modernization, effective July 1, 2002, employees appointed to temporary positions may also gain membership in the civil service upon satisfactory completion of an initial probation period of at least six months. As a temporary member of the civil service, you will be eligible to apply for promotion and transfer opportunities to permanent as well as other temporary positions. You may also enjoy other rights and benefits afforded to members of the civil service, with the exception of return rights and placement rights associated with a reduction-in-force of a permanent member of the civil service. Paid Holidays You may be eligible for 13 paid holidays each year; 14 holidays during an election year. Paid Vacation You may earn vacation leave at a rate that other employers find tough to match 21 days each full year from the FIRST year of employment. This compares to an average of 10 days offered by private companies. You may accumulate up to a total of 90 days (720 hours) of vacation. Paid Sick Leave You may earn sick leave at the same rate as vacation 21 days per year from the FIRST year, and there is no limit on the amount you can accumulate. Expectant mothers may also use sick leave for pre-natal or post-natal check-ups or any illness related to pregnancy. Plus, unused accumulated sick leave may eventually be used to increase your retirement benefits in certain situations. Other Leaves Reasonable time off with pay may be provided for jury or witness duty, a death in the family, some military duty, and donation to the Blood Bank. Leave sharing donations may be granted to eligible employees who have serious personal illnesses or injuries or need to care for a seriously ill or injured family member. Various leaves without pay may also be granted with full re-employment rights. Health Insurance The State pays a part of the premiums for each employee's enrollment in a State sponsored Medical, Drug, Vision, and Dental Plan. For more information, visit the Employer Union Trust Fund website for coverage and options. Group Life Insurance The State provides a free life insurance policy for employees. Retirement Plan The State contributes to a retirement plan for eligible employees. Generally, employees under the Hybrid Plan with 10 years of credited service and who have reached 65 years of age or have 30 years of credited service and have reached 60 years of age may retire and receive benefits. To find out more about the options you have, go to Premium Conversion Plan Participating employees may increase their take-home pay by having the State deduct the cost of health care premiums before payroll taxes are withheld. Flexible Spending Accounts Eligible employees can reduce their federal and state income taxes and social security taxes through a tax-savings benefit program called Island Flex. This program allows employees to set aside money from their paychecks to pay for out-of-pocket health care expenses and eligible dependent care expenses on a BEFORE-TAX basis. Transportation Benefits Participating employees may increase their take-home pay by having the State deduct qualified transportation expenses (i.e. eligible parking fees, monthly bus passes for TheBus, fare coupons for The Handi-Van, Vanpool Hawaii participation fee, etc.) through pre-tax payroll deductions. Deferred Compensation The State offers employees a voluntary pre-tax retirement savings plan designed to give employees a tax break today and an opportunity to build a retirement nest egg through voluntary payroll deductions. Several types of investment options are available. Temporary Disability Insurance Qualified employees may be eligible to receive benefits for a disability caused by a non-work related injury or illness under this program. Social Security As an employer, the State also contributes to an employee's social security account. Promotions & Transfers For employees with membership in the civil service, the State offers promotion and transfer opportunities throughout the State Executive Branch. Training & Continuing Education The State supports developmental activities related to