Compliance Examiner I

Compliance Examiner I

Location: Securities, Charities, Cemeteries, 2 Martin Luther King, Jr. Drive, S.E., Suite 820, West

Pay Grade: H

Salary: $50,000

This position is open to current Secretary of State employees and external applicants.

Posting Date:
May 31, 2022
Application Deadline:
June 10, 2022
Department:
Securities, Charities, Cemeteries
Position Number(s):
 
FLSA: 
Administrative
Supervisor:
Division Director
Section: Revision Date:
June 29, 2020

 

POSITION SUMMARY: 
Under general supervision, the Compliance Examiner II is responsible for the processing of registration applications including but not limited to applications submitted by those under the Securities Act of 2008 (including and not limited to investment firms, investment professionals and investment products), and assisting Compliance Examiner II staff with the planning and performing regulatory compliance examinations of entities registered with the Securities, Charities and Cemeteries Division (“Division”), towards the goal of ensuring compliance with applicable laws and rules, including but not limited to the Georgia Uniform Securities Act of 2008 (“Act”) the Georgia Charitable Solicitations Act of 1998 (“Charities Solicitation Act.”) and the Georgia Cemeteries and Funeral Services Act of 2000 (“Cemeteries Act”)(collectively, “Acts”), and the rules promulgated thereunder.

ESSENTIAL DUTIES and RESPONSIBILITIES:

  • Process in a timely fashion, a high volume of registration and notice filings all using the Division’s online platforms, including but not limited to web­ based CRD/IARD system, the Electronic Filing Delivery (“EFD”) system, Seamless Docs.
  • Review and evaluate all applications to assess satisfaction of all required registration criteria in accordance with applicable laws, rules and policies.
  • Prepare correspondence and communications informing applicants of issues concerning the application that include but are not limited to deficiencies, requests for additional information and requests for additional supplemental documentation.
  • Analyze application data responses, disclosure documents and disciplinary histories for any irregularities and deficiencies.
  • Assist Compliance Examiner II staff with planning and performance of  books and records and financial compliance examinations of entities registered or required to be registered with the Division. 
  • Prepare reports, memoranda, spreadsheets, correspondence and other documents recommending entities for compliance examinations based on registration findings.
  • Assist Analyst staff in the processing of notice filings for securities-related investment products.
  • Acquire, maintain and continue to develop core skills and knowledge of relevant rules, regulations, and  guidelines through completion of Division approved training program, which includes online webinars and attendance at onsite training provided by partner organizations such as NASAA. and NASCO.  Participate in special projects and initiatives.
  • Maintain subject matter expert level knowledge on all laws, rules, regulations, policies and procedures governing the application requirements under the Division’s jurisdictional oversight.
  • Assist applicants, potential applicants and registrants to find information on applicable laws, rules, regulations, policies and procedures relating to the registrations requirements for applicants and registrants under the Division’s jurisdictional oversight.
  • Identify and report potential violations of rules, regulations, or law violations to designated Division staff for further assessment and review.
  • Conduct research to compile information needed to generate reports, complete projects and accurately respond to questions and concerns.
  • Analyze problems, questions, issues, etc. and develop report recommendations for resolving them.
  • Update designated data management system with the registration information and file registration application documents accordingly.  
  • Assist Division and Agency staff (including but not limited to Call Center staff) in providing timely responses to inquiries and assistance to constituents regarding requirements for applicants and registrants under the Division’s jurisdictional oversight.
  • Provide technical assistance to constituents and Division staff as needed.
  • Perform other related duties as assigned.
  • Occasional state-wide travel required.

KNOWLEDGE, SKILLS, AND ABILITIES:

  • Knowledge of applicable laws, rules and regulations that affect area specific application for registration.
  • Knowledge of area specific registration requirements.
  • Ability to process a very large number of applications/regulatory filings in a timely manner.
  • Ability to apply compliance standards in reviewing applications.
  • Ability to review applications to determine and identify regulatory/compliance deficiencies as well as more significant potential violations.
  • Ability to communicate clearly and concisely with a variety of internal agency staff and external parties.
  • Ability to communicate both orally and in writing.
  • Ability to produce written documents with clearly organized thought using proper sentence structure, punctuation, and grammar.
  • Ability to produce written reports and other work product with a high degree of accuracy.
  • Ability to coordinate and prioritize multiple unique projects.
  • Ability to maintain confidentiality.
  • Superior customer service skills.
  • Excellent computer skills, including, but not limited to, the Microsoft Office Suite (especially Word and Excel), and internet-based research tools.

SUPERVISORY RESPONSIBILITIES:
None

MINIMUM QUALIFICATIONS:
Demonstrated analytical skills, preferably in a business/finance/investment-related environment.

PREFERRED QUALIFICATIONS:
Bachelor’s degree in finance, business administration or an equivalent combination of education and experience.  Directly related experience in a securities, finance, or securities regulatory role is highly preferred. Basic knowledge of investment products and other such securities instruments preferred. Familiarity with the federal and state securities and charities laws. Knowledge of FINRA and Securities and Exchange Commission (“SEC”) rules and regulations is a plus.  Certified Fraud Examiner with concentration in investor and securities fraud is desired.

EDUCATIONAL QUALIFICATIONS:
Completion of a Bachelor's degree from a nationally accredited college or university in a related field required. Paralegal Certification from a nationally accredited paralegal certification program desired. Knowledge of the securities and financial products highly desired.

 

Interested In Applying?

Applicants may send one State of Georgia Application and/or their resume to: 
[email protected]

OR

Secretary of State/Human Resources Office
2 Martin Luther King Jr. Drive, S.E.
Suite 820, Floyd West Tower
Atlanta, GA 30334

If you have a disability and require assistance to apply for a position, please call (404) 656-5551 or the Georgia Relay Service.

The State of Georgia is an Equal Opportunity Employer.

Contact

Address

214 State Capitol
Atlanta, Georgia 30334

Phone

404-656-2881

Service Hours

Mon - Fri 8:00 - 5:30