State of Wisconsin · 1 week ago
Financial Securities Examiner - Registration and Compliance
Madison, WI
Full-time
Hybrid
Mid Level
$28/hr - $31/hrThe State of Wisconsin is seeking a Securities Examiner in their Bureau of Professional Registration and Compliance to help protect investors. The role involves ensuring compliance with Wisconsin’s securities laws, reviewing registration applications, conducting examinations, and investigating business practices of financial service providers.
AssociationNon Profit
No H1B
Responsibilities
Ensure compliance of broker-dealers, securities agents, investment advisers and investment adviser representatives with the Wisconsin Uniform Securities Law
Review and evaluate registration applications
Conduct on-site examinations of investment advisers and broker-dealers
Investigate the business practices of securities firms and professionals in response to customer complaints or other sources
Evaluate whether administrative action is necessary and appropriate to enforce the securities laws
Qualification
Required
Ensuring business compliance with policies, procedures or regulatory requirements (within or outside of the securities/ financial industry)
Analysis, preparation and/or submission of financial reports or records
Preferred
Performing auditing or compliance officer duties in the securities or investments industry
Investigating and/or resolving customer/consumer complaints
Performing educational training or outreach efforts
Benefits
Substantial leave time including at least 3.5 weeks of paid leave time to start, 9 paid holidays, and 130 hours of sick time that roll over each year.
Excellent and affordable health, vision, and dental benefits (health plan options start at just $42/month for single plans and $104/month for family plans after two months of employment)
A casual office atmosphere, flexible work schedules, and telework options depending on the position’s requirements
An exceptional pension plan with employer match and lifetime retirement payment, plus an optional tax advantaged 457 retirement savings plan
Well Wisconsin Wellness Program
A free and confidential employee assistance program that offers employees and their immediate family dependents a variety of tools, resources, and professional consultation services to support their health, goals, and overall well-being
Company
State of Wisconsin
The State of Wisconsin is a U.S. state located in the north-central United States, in the Midwest and Great Lakes regions.
Founded in 1848
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Christian Albouras, MBA
Deputy Administrator (Chief Operations Officer), Division of Early Care and Education
Drew Hanson
Partnerships Liaison
Recent News
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