Non-Depository and Securities Compliance Examiner 1

THE POSITION

Step into a rewarding role as a Non-Depository and Security Compliance Examiner 1 with the Pennsylvania Department of Banking & Securities (DoBS). In this entry-level position, you will begin building the skills needed to review financial institutions and protect consumers. This position learns and participates in initial examinations of less complex non-depository financial institutions to ensure compliance with established laws, regulations, and sound management practices. Apply today and join an agency that safeguards financial integrity statewide.

DESCRIPTION OF WORK

This role focuses on learning and performing examination tasks for non-depository financial institutions to support safe and lawful operations. You will develop practical skills by assisting with reviews, assessments, and documentation. As a Non-Depository and Security Compliance Examiner 1, you will perform the following duties:

• Training Participation: Participate in hands-on training and practice examinations to build examining skills
• Application Reviews: Conduct initial reviews of basic corporate and branch applications under guidance
• Operational Analysis: Analyze financial operations, records, filings, and consumer files to assess compliance
• Information Requests: Prepare correspondence or contact applicants to obtain missing or additional documentation
• Regulation Learning: Learn laws and policies for state licensed non-depository institutions and apply them in communications
• Background Review: Interpret and investigate applicant and control person backgrounds for compliance with laws

Why work at DoBS? We place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce. We also offer:

• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• On-the-job training
• Professional development

Interested in learning more? Additional details regarding this position can be found in the position description.

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with a 60-minute lunch.
• Telework: You may have the opportunity to work from home (telework) part-time. In order to telework, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania. If you are unable to telework, you will have the option to report to the headquarters office in Harrisburg. The ability to telework is subject to change at any time. Additional details may be provided during the interview.
• Salary: In some cases, the starting salary may be non-negotiable.
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY

QUALIFICATIONS

Minimum Experience and Training Requirements:

• A bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or
• An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.

Other Requirements:

• You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment.
• You must meet the PA residency requirement. For more information on ways to meet PA residency requirements, follow the link and click on Residency. 
• You must be able to perform essential job functions.

This position is subject to the provisions of a collective bargaining agreement or memorandum of understanding.

You must be eligible for selection in accordance with merit system employment regulations.

Recruitment Methods:

• Applicants must meet one of the following methods to be considered for this vacancy:
  • Reassignment (Only current civil service employees in the same agency who hold the same or similar job title, with the same maximum salary, within the same occupational group or where there is a logical career movement, will qualify for reassignment.)
    • Meritorious service is defined as (a) the absence of any discipline above the level of written reprimand during the 12 months preceding the closing date of the posting, and (b) the last regular or probationary performance evaluation showing an overall rating of satisfactory or higher.
  • Transfer (Only current civil service employees who hold the same job title will qualify for transfer to another agency.) 
    • Meritorious service is defined as (a) the absence of any discipline above the level of written reprimand during the 12 months preceding the closing date of the posting, and (b) the last regular or probationary performance evaluation showing an overall rating of satisfactory or higher. 
  • Voluntary Demotion
  • Reinstatement (Former civil service employees may only be reinstated to the job title from which they resigned. Current civil service employees are not eligible through reinstatement.)

How to Apply:

• Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education).
• If you are claiming education in your answers to the supplemental application questions, you must attach a copy of your college transcripts for your claim to be accepted toward meeting the minimum requirements. Unofficial transcripts are acceptable.
• Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted.
• Failure to comply with the above application requirements may eliminate you from consideration for this position. 
• All application materials and interview responses must reflect the applicant’s own experience, qualifications, and work. Applicants may use generative AI tools for preparation purposes only. Use of AI to misrepresent or falsify information, or to assist during interviews, is not permitted. Review the Guidance for Generative AI Tools & Job Seekers for additional information.

Telecommunications Relay Service (TRS): 

• 711 (hearing and speech disabilities or other individuals).

If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

Benefits

Learn more about our Total Rewards by watching this short video!

See the total value of your benefits package by exploring our benefits calculator.

Health & Wellness

We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.*

Compensation & Financial Planning
We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options. 

Work/Life Balance
We know there’s more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, eight weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.* 

Values and Culture
We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving.

Employee Perks
Sometimes, it is the little “extras” that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships.

For more information on all of these Total Rewards benefits, please visit www.employment.pa.gov and click on the benefits box.

*Eligibility rules apply.

Supplemental Questions

Required Question

Agency Information

EmployerCommonwealth of PennsylvaniaAddress 613 North Street

Harrisburg, Pennsylvania, 17120 Website http://www.employment.pa.gov