SECURITIES EXAMINER IV - DOWNTOWN, OAHU

Job Title

Recruitment Information

Recruitment Number 24-0347 Salary: $5,258 to $6,399 per month (SR-22, Step D to I) Note: Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors. This continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.

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 ½) 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. Applicants must possess the ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups. Relevant substitutions as described in the Minimum Qualification Requirements will apply. The information provided above represents a summary of the complete Minimum Qualification Requirements (MQRs). To view the MQRs in their entirety, please CLICK HERE (Download PDF reader) 02147:031618:13:JT

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 click.appcast.io 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. CLICK HERE (Download PDF reader) for further information about Equal Employment Opportunity, the Merit Civil Service System, Citizenship and other requirements, Reasonable Accommodation, Veterans Preference, Examination Requirements, and the State Recruiting Office's Levels of Review.