Examiner (Administrator I) Securities Division

Salary:    $57,095 - $91,742. The salary range is based on a multitude of factors, including applicable personnel rules, regulations, and guidelines.

Location:   Office of the Attorney General, 200 St. Paul Place, Baltimore, Maryland 21202​

Telework Status:   A hybrid remote telework and in-office schedule option is available per applicable policies and procedures.​

DESCRIPTION:

The Administrator I will function as an Examiner for the Securities Division of the Office of the Attorney General. The Examiner will work primarily in the Investment Adviser/Broker-Dealer Unit, although they may be required to work with other Units within the Division.

Duties include: conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants' financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and broker-dealers and their agents; drafting correspondence to applicants outlining deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; responding to inquiries from applicants, registrants, their counsel and the public, including providing application status reports; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants, registrants, and filings; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act.​

Other duties include consulting with Assistant Attorneys General in the Division on matters of policy and legal interpretation and assisting the Assistant Attorneys General with disciplinary and enforcement proceedings; supervising secretary and registration assistant in conjunction with other examiners and Assistant Attorneys General; being available to perform examiner functions in different units as the need arises.

EDUCATION/EXPERIENCE:

Education: Graduation from an accredited high school or possession of a high school equivalency certificate. Experience: Four years of administrative staff or professional work.

Notes:

1. Candidates may substitute 30 college credit hours from an accredited college or university for each year up to four years of the required experience.
2. Candidates may substitute the possession of a Bachelor's degree from an accredited college or university for the required experience.
3. Candidates may substitute the possession of a Master's degree from an accredited college or university for the required experience.
4. Candidates may substitute U.S. Armed Forces military service experience as a commissioned officer involving staff work related to the administration of rules, regulations, policy, procedures and processes, or overseeing or coordinating unit operations or functioning as a staff assistant to a higher-ranking commissioned officer on a year-for- year basis for the required experience.​
   
   

Preferred qualifications:

1. Bachelor's degree from an accredited college or university.
2. Three years of financial services work experience.
3. Experience working with MS Word, Access, and Excel programs.
4. Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement.
5. Experience working with and/or reviewing the books and records of investment advisers, broker-dealers, or other financial professionals.

EMPLOYMENT BENEFITS: The successful candidate will be eligible for subsidized health benefits (medical, prescription, dental and vision coverage) and life insurance; leave, including annual (vacation), personal, sick, and paid parental leave; and will be eligible for participation in a contributory defined benefit pension plan in which they are vested after ten years. State employees are eligible to participate in two supplemental retirement plans: the 457 Deferred Compensation Plan and the 401(k) Savings and Investment Plan. The State also offers a free mass transit benefit for local bus and express bus services.

SUBMISSION: Interested persons should submit an on-line application and supplemental questionnaire through Department of Budget and Management, Maryland State Online Employment Center http://www.jobaps.com/MD/ by December 4, 2023 at 5:00 PM.

EQUAL OPPORTUNITY EMPLOYER: The Office of the Attorney General is an equal opportunity employer that encourages all interested persons to apply regardless of race, color, religion or belief, ancestry, national origin, age, marital status, sexual orientation, gender identity and/or expression, disability, pregnancy, family or parental status, veteran status, genetic information, or any protected category prohibited by local, state, or federal laws.

COMMITMENT TO DIVERSITY, EQUITY, INCLUSION, AND BELONGING: The Office of the Attorney General views equity, diversity, inclusion, and belonging as the pathway to achieving professional excellence and fostering and maintaining a culture where every employee can thrive. We strive to create a community that draws upon the best pool of talent to unify excellence and diversity while fully embracing individuals from varied backgrounds, cultures, races, identities, life experiences, perspectives, beliefs, and values. We honor, respect, and celebrate all differences, both visible and invisible, and are committed to recruiting, retaining, and promoting individuals who have historically been underrepresented in the practice of law and professional careers.