Securities Compliance Examiner 1

 

Employment Opportunities
The Pennsylvania Department of Banking and Securities currently has four openings for Securities Compliance Examiners. Two are in Harrisburg (Dauphin County), one is in Philadelphia (Philadelphia County) and one is in Pittsburgh (Allegheny County). These positions can be filled at either the Securities Compliance Examiner 1 or the Securities Compliance Examiner 2 level.

 

Type of Work
You will examine and audit broker dealer firms and investment advisers registered in Pennsylvania to ensure compliance with federal and state requirements and to protect investors. Securities Compliance Examiners also examine, review and analyze all investment adviser and broker dealer applications for firms seeking licenses to do business in the Commonwealth of Pennsylvania to determine eligibility for registration. Examiners review an applicant's plan of business and method of operation, the business background and qualifications of the firm's principals, the nature and scope of derogatory history, the financial solvency of the firm, and other disclosure matters.

 

Location

The positions in Harrisburg are located at the address below:

Market Square Plaza
17 North Second Street, Suite 1300
Harrisburg, PA 17101

The position in Philadelphia is located at the address below:

801 Market Street, Room 6121
Philadelphia, PA 19107

The position in Pittsburgh is located at the address below:

301 Fifth Avenue, Suite 290
Pittsburgh, PA 15222

For specific job-related questions about these opportunities, please contact:

Phone: (717) 783-3611
E-mail: DOBS-Recruit@pa.gov

 

Starting Salary

$43,208/annually

 

Benefits
Comprehensive health insurance; liberal retirement/pension plan; paid vacation, personal and sick leave; paid holidays; prescription, vision and dental plan coverage (after six months); paid group life insurance, and much more.

 

Pennsylvania residency is required at the time of application for these positions. 

 

Click here to view detailed test announcement which includes eligibility requirements.