Non-Depository and Securities Compliance Examiner 1

The Department of Banking and Securities is seeking a Non-Depository and Securities Compliance Examiner 1 who is eager to make a difference in the financial landscape. In this entry level position, you will examine and audit broker-dealer firms and investment advisers registered in Pennsylvania to determine compliance with federal, state and other regulatory requirements and ensure investor protection. Join an agency that plays a vital role in safeguarding Pennsylvania’s financial integrity.

Working under the guidance of higher-level examiners and/or investigators (“senior staff”) for instruction and assistance, this role focuses on reviewing financial entities and individuals to ensure that they follow established securities laws and regulations. The work supports investor protection and helps maintain a fair marketplace. As a Non-Depository and Securities Compliance Examiner 1, you will perform the following duties:

• Compliance Reviews: Examine registrant filings and background information to assess business activities and identify potential concerns
• On-Site Examination Work: Inspect books, records, financial documents, and operational materials to evaluate adherence to legal requirements
• Interview Activities: Conduct interviews with registrants and principals to gather information and clarify examination issues
• Issue Analysis: Work with senior staff to develop examination plans, analyze findings, and prepare related reports and documents
• Complaint Handling: Receive, review, and process inquiries or complaints and determine when matters should be referred to other regulatory staff or agencies
• Investigation Support: Assist with investigative tasks, including preparing subpoenas and contributing to cases that may require testimony

Why work at DoBS? We place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce. We also offer:

• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• On-the-job training
• Professional development

Interested in learning more? Additional details regarding this position can be found in the position description.

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with a 60-minute lunch.

• This position is home headquartered. In order to be home headquartered, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania.

• Salary: Most employees will start at the beginning level of the advertised salary.
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

QUALIFICATIONS

Minimum Experience and Training Requirements:

• A bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or
• An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.

Other Requirements:

• This particular position also requires possession of a valid driver's license.
• You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment.
• You must meet the PA residency requirement. For more information on ways to meet PA residency requirements, follow the link and click on Residency. 
• You must be able to perform essential job functions.

How to Apply:

• Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education).
• If you are claiming education in your answers to the supplemental application questions, you must attach a copy of your college transcripts for your claim to be accepted toward meeting the minimum requirements. Unofficial transcripts are acceptable.
• Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted.
• Failure to comply with the above application requirements may eliminate you from consideration for this position. 
• All application materials and interview responses must reflect the applicant’s own experience, qualifications, and work. Applicants may use generative AI tools for preparation purposes only. Use of AI to misrepresent or falsify information, or to assist during interviews, is not permitted. Review the Guidance for Generative AI Tools & Job Seekers for additional information.

Veterans: 

• Pennsylvania law (51 Pa. C.S. §7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to www.pa.gov/agencies/employment/how-to-apply.html and click on Veterans.

Telecommunications Relay Service (TRS): 

• 711 (hearing and speech disabilities or other individuals).

If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

• Completing the application, including all supplemental questions, serves as your exam for this position. No additional exam is required at a test center (also referred to as a written exam).
• Your score is based on the detailed information you provide on your application and in response to the supplemental questions. 
• Your score is valid for this specific posting only.
• You must provide complete and accurate information or:
  • your score may be lower than deserved.
  • you may be disqualified.
• You may only apply/test once for this posting.
• Your results will be provided via email.