Non-Depository and Securities Compliance Examiner 1 (Department of Banking & Securities Only)

THE POSITION

Are you looking for a chance to support fair and safe financial practices across the state? Take your career up a notch with the Department of Banking & Securities as a Non-Depository and Securities Compliance Examiner 1. In this role, you will help ensure that financial businesses follow important rules that protect the public, while learning directly from knowledgeable team members. Take advantage of this opportunity to make a positive impact while developing valuable professional experience!

DESCRIPTION OF WORK

As a Non-Depository and Securities Compliance Examiner 1, your work will be focused on reviewing financial firms and individuals to ensure they follow laws designed to protect investors. In this role, you will perform the following duties:

• Regulatory Reviews: Assist in planning and conducting examinations and investigations of registered and unregistered firms and individuals
• Compliance Checks: Review filings and business information to understand operations and identify potential issues
• Record Examination: Inspect books, records, financial documents, and procedures to gather accurate information
• Information Reporting: Prepare memos, reports, and deficiency letters for review by senior staff
• Complaint Handling: Receive, analyze, and process complaints by communicating with involved parties when needed
• Legal Support: Assist with subpoenas and provide help during hearings or investigations when required

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.
• This position is home headquartered. In order to be home headquartered, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania.
• 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

Organization or Location Restrictions: 

• This posting is restricted to Department of Banking & Securities employees only. 

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:

• This particular position also requires possession of a valid driver's license.
• 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 the absence of any discipline above the level of written reprimand during the 12 months preceding the closing date of the posting, and the last regular or probationary performance evaluation showing an overall rating of satisfactory or higher. 
  • Voluntary Demotion

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): 

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