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State of Alaska · 9 hours ago

Financial Examiner 1/2 Flex

Anchorage, AK

Full-time

Hybrid

Entry, Mid Level

$4,917/mo - $5,667/mo

The State of Alaska's Division of Banking and Securities is recruiting for Financial Examiner 1/2 Flex positions. The role involves reviewing filings, conducting investigations, and providing educational outreach on financial literacy while working under the guidance of senior examiners.

ElectronicsGovernmentSecurity

Responsibilities

Review filings by Alaska Native Claims Settlement Act (ANCSA) corporations and shareholders, analyze requests for investigation, and draft enforcement orders with the assistance of a senior examiner

Maintain the ANCSA filing database and assist with public inquiries regarding the database

Learn examination concepts and skills through on-the-job training and formal classroom instruction offered by regulatory agencies/organizations

The position will, under direction of a senior examiner, assist in conducting securities examinations of broker-dealer branches and investment adviser firms, but may conduct examinations of other types of financial institutions as well, and may be required to respond to inquiries from the public and conduct investigations regarding alleged violations in other areas regulated by the division

Provide educational outreach in the ANCSA program area and on a variety of financial topics to educate Alaskan consumers on financial literacy

Independently receive and respond to inquiries from ANCSA corporations, executives, and shareholders and conduct investigations of those entities and persons

Independently serve as an examiner-in-charge on less complex examinations and assist with complex examinations in a team environment

Oversee and train FE 1s on ANCSA filings, inquiries, and investigations and the securities examination process

Qualification

Financial ExaminationAnalytical ThinkingTechnical CompetenceAuditingPrinciples of FinanceSelf-ManagementResilienceOral CommunicationWritten CommunicationAdaptability

Required

Any combination of education and/or experience that provides the applicant with competencies in Analytical Thinking/Problem Solving: uses a logical, systematic, sequential approach to address problems or opportunities or manage a situation by drawing on one's knowledge and experience base and calling on other references and resources as necessary

Knowledge of generally accepted auditing standards and procedures for conducting financial and compliance, economy and efficiency, and program audits

Uses computers, software applications, databases, and automated systems to accomplish work

Expresses information (for example, ideas or facts) to individuals or groups effectively, taking into account the audience and nature of the information (for example, technical, sensitive, controversial); makes clear and convincing oral and written presentations; listens to others, attends to nonverbal cues, and responds appropriately

Knowledge of the basic principles, practices, and methods of financial management to include requisitions, apportionments, allotments, investments, fiscal management, activity reporting, and fiscal year guidelines

Any combination of preparatory post-secondary education and/or experience in conducting financial accounting; reviewing, investigating, and/or processing licensure applications; or reviewing financial statements and/or making safety and soundness determinations

Successful completion of securities examinations: Series 7, Series 63, or Series 65; Securities Industry Essentials Exam (SIE), or professional designation as a Certified Financial Planner, Chartered Financial Analyst, Chartered Investment Counselor, Certified Investment Analyst, Personal Financial Consultant, or holds or has held a license or registration as a Mortgage Loan Originator

Any combination of education and/or experience that provides the applicant with competencies in Financial Examination: Knowledge of the laws, regulations, principles, and practices that govern financial institutions (depository and non-depository) handling financial services transactions; analyzes financial statements, lending or loan portfolios, client/customer files, investment portfolios, and/or management policies and operations; examine for safety and soundness, and/or compliance; identifies any discrepancies and determines necessary corrective actions

Any combination of preparatory post-secondary education and/or progressively responsible experience in reviewing licensure, conducting examinations, enforcements, and/or investigations or conducting other programmatic activities for securities, depository institutions, and/or non-depository financial services entities

Professional designation as a Certified Financial Planner, Chartered Financial Analyst, Chartered Investment Counselor, Certified Investment Analyst, Personal Financial Consultant, or holds or has held a license or registration as a Mortgage Loan Originator