Senior Securities Examiner (RLD #27118)

Onsite$62,629 - $93,933/yrPosted 3 weeks ago

Job details

Location
Albuquerque, New Mexico
Work type
Onsite
Compensation
$62,629 - $93,933/yr
Posted
3 weeks ago
Apply on
careers.share.nm.gov

About this role

Salary

 

$30.11 - $45.16 Hourly

$62,624 - $93,936 Annually

This position is a Pay Band C8

Posting Details

 
The primary mission of the New Mexico Securities Division is investor protection. Consistent with that purpose, the division seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services. It accomplishes this goal by:

* Educating New Mexicans about the proper ways of raising investment capital and about the risks associated with investments.

* Reviewing and approving some types of investment opportunities before issuers raise capital to ensure compliance with the law.

* Discovering, stopping, and prosecuting those who violate the laws governing investment capital, or who commit fraud.

* Licensing stockbrokers and investment advisers whose business is to assist and advise investors.

Interviews are anticipated to be conducted within two weeks of closing date.

RLD participates in E-Verify and will verify employment upon hire.

Why does the job exist?

 
The securities industry in New Mexico includes broker dealers, agents, investment advisors, investment advisor representatives, and those seeking to raise capital by offering services or investment opportunities in New Mexico and to New Mexico investors. Complex and extensive laws and regulations impact operations of the securities industry. Assurance and assistance that the industry is confirming to applicable laws plays a vital role in government oversight and is key in establishing and maintaining safe and credible markets.

How does it get done?

 
Examines, evaluates and investigates securities offerings, industry firms, individuals and records to ascertain conformity with applicable regulations, rules, and adopted guidelines. Collaborates with businesses and persons within the securities industry to establish and/or maintain conformity with applicable laws and regulations.

Who are the customers?

 
This work benefits those seeking to raise capital, the licensed professionals, and the individual investors in the state of New Mexico, helping to ensure services and investments offered meet the standards of the New Mexico Securities Act.

Ideal Candidate

 
Performs most difficult and complex securities examinations (e.g., examines securities offerings and sales activities concerned with difficult and involved business transactions and transactions involving voluminous and varied securities, examines highly complex, similar securities offerings) to determine compliance with securities laws and regulations, examines books, records, documents and related materials of issuers of securities and broker-dealers of securities and those that sell the securities to investors, prepares reports and analyses of examination, reports non-compliance with laws and regulations and makes recommendations for corrective action, performs follow-up examinations as needed. (90% of time)
Other duties and support as required. (10% of time)

Minimum Qualification

 
Bachelor's Degree in Accounting, Economics, or Business Administration and two (2) years of experience in accounting, auditing, bank administration, lending, loan review, budget analysis, economics, banking to include teller operations, and/or investment analysis. Any combination of education from an accredited college or university in a related field and/or direct experience in this occupation totaling six (6) years may substitute for the required education and experience.

Employment Requirements

 
Must possess and maintain a valid Driver's License. Must possess and maintain a current Defensive Driving Course Certificate from the State of New Mexico or must pass and receive Defensive Driving Course Certification within six (6) months of date of hire as a condition of continued employment. Employment is subject to a pre-employment background investigation and is conditional pending results.

Working Conditions

 
The work is performed in an office setting with exposure to Visual/Video Display Terminal (VDT) and extensive personal computer usage.  Up to 10% of the work may need to be completed in the field and occasional overnight travel may be necessary.

Supplemental Information

 

Do you know what Total Compensation is? Click here

Agency Contact Information: Krystal Montano, 505-363-8067. Email

For information on Statutory Requirements for this position, click the Classification Description link on the job advertisement.

Bargaining Unit Position

 
This position is not covered by a collective bargaining agreement.
Ready to apply?
ApplyBolt finds matching jobs, tailors your resume, and submits applications for you.

About New Mexico Regulation and Licensing Department

New Mexico Regulation and Licensing Department
Albuquerque, New Mexico
All jobsWebsiteLinkedIn