"Alerted.org

Non-Depository and Securities Compliance Examiner 1

Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4933339)

Apply



Non-Depository and Securities Compliance Examiner 1

Salary

$50,836.00 - $77,321.00 Annually

Location

*Home Headquartered, PA

Job Type

Civil Service Permanent Full-Time

Job Number

CSSC-2025-25257-03206

Department

Department of Banking & Securities

Division

BG Scy Exmn Div 2

Opening Date

05/14/2025

Closing Date

5/27/2025 11:59 PM Eastern

Job Code

03206

Position Number

50418162

Union

AFSCME

Bargaining Unit

A4

Pay Group

ST06

Bureau / Division Code

00052200

Bureau / Division

Banking & Securities Examination Division 2

Worksite Address

Home Headquartered

Contact Name

Felicia Newbury

Contact Email

[email protected]

+ Description

+ Benefits

+ Questions

THE POSITION

Are you interested in a professional opportunity where you will leverage your financial and investigative skills? The Department of Banking and Securities (DoBS) is eager to welcome an ambitious and detail-oriented Non-Depository and Securities Compliance Examiner 1 to the team. In this beginning level position, you will examine and audit broker-dealer firms and investment advisers to determine compliance with federal, state and other regulatory requirements and ensure investor protection. Take the next step in your career with us and contribute to our team's success!

DESCRIPTION OF WORK

As a Non-Depository and Securities Compliance Examiner 1, you will work under the guidance of higher-level examiners and/or investigators (“senior staff”), who provide instruction and assistance on work problems. As technical proficiency is acquired, this position is given increased responsibility for independent examination or investigation assignments. Work involves performing examinations and reviewing filings made by the registrant on the type and kind of business the registrant is conducting in preparation for the on-site examination. The examination includes interviewing the registrants and registrants’ principals, inspecting their books and records, and compiling data from relevant documents. You will be expected to confer with the supervisor or assigned senior staff to develop an examination schedule and analyze examination and investigative issues. You will have the opportunity to submit detailed examination reports and draft deficiency letters to registrants outlining noncompliance with statutory requirements.

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

We offer:

+ Competitive salary

+ Stable and supportive work environment

+ Networking opportunities

+ Tuition reimbursement

+ Comprehensive benefits

+ Retirement package

+ On-the-job training

+ Professional development

Interested in learning more? Additional details regarding this position can be found in the position description (https://careers.employment.pa.gov/pd/PD\_NEOGOV.asp?p=50418162) .

Work Schedule and Additional Information:

+ Full-time employment

+ Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with 60-minute lunch.

+ Telework: You will not have the option to telework in this position.

+ 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.

REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY

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.

Post Employment Requirement:

+ Real ID or Passport required for travel.

Other Requirements:

+ This particular position also requires possession of a valid driver's license.

+ You must meet thePA residency requirement (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) . For more information on ways to meet PA residency requirements, follow thelink (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) and click on Residency.

+ You must be able to perform essential job functions.

How to Apply:

+ Resumes, cover letters, and similar documents willnotbe 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).

+ This posting requires submission of a copy of your college transcript(s). Unofficial transcripts are acceptable. You may upload your document as an attachment during the application process. You must still complete the application and answer the supplemental questions. All documents MUST be uploaded prior to the submission of your application.

+ 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.

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.employment.pa.gov/Additional%20Info/Pages/default.aspx and click the Veterans’ Preference tab or contact us at [email protected] .

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.

EXAMINATION INFORMATION

+ 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/testoncefor this posting.

+ Your results will be provided via email.

Learn more about our Total Rewards by watching this shortvideo (https://www.youtube.com/embed/HtcSRnndflc?rel=0) !

See the total value of your benefits package by exploring ourbenefits calculator.

Health & Wellness

We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.*

Compensation & Financial Planning

We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options.

Work/Life Balance

We know there’s more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, eight weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.*

Values and Culture

We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving.

Employee Perks

Sometimes, it is the little “extras” that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships.

For more information on all of these Total Rewards benefits, please visitwww.employment.pa.gov and click on the benefits box.

*Eligibility rules apply.

01

Selective Certification: Do you possess a current driver's license which is not under suspension?

+ Yes

+ No

02

If you answered yes, please provide your driver's license number and expiration date. If you answered no, type N/A in the text box below.

03

Have you completed nine or more college credits in accounting, finance, economics, or a closely related field? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If your education was acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visitingwww.naces.org (”www.naces.org”target=_blank”) and clicking the Evaluation Services Link.

For additional information on foreign education credentials, please visithttps://www.employment.pa.gov/Additional%20Info/Pages/default.aspx#q3and click on Other Information.You must attach your documentation prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a document to the application after it has been submitted.

+ Yes

+ No

04

Have you successfully completed, or are you within three months of completing a bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If you answer “Yes” to this question based on education acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visitingwww.naces.org (”www.naces.org”target=_blank”) and clicking the Evaluation Services Link.

For additional information on foreign education credentials, please visithttps://www.employment.pa.gov/Additional%20Info/Pages/default.aspx#q3and click on Other Information.You must attach your documentation prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a document to the application after it has been submitted.

+ Yes

+ No

05

If you are within three months of completing a bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field, on what date do you expect to graduate? If this does not apply to you, please type N/A in the text box.

06

How much college coursework have you completed? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If your education was acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visitingwww.naces.org (”www.naces.org”target=_blank”) and clicking the Evaluation Services Link.

For additional information on foreign education credentials, please visithttps://www.employment.pa.gov/Additional%20Info/Pages/default.aspx#q3and click on Other Information.You must attach your documentation prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a document to the application after it has been submitted.

+ 120 credits or more

+ 90 but less than 120 credits

+ 60 but less than 90 credits

+ 30 but less than 60 credits

+ Less than 30 credits

+ None

07

Are you currently licensed as a Certified Public Accountant (CPA)?

+ Yes

+ No

08

If you answered yes to the above question, please provide your CPA license number. If you answered no to the above question, type N/A in the text box below.

09

You must complete the supplemental questions below. These supplemental questions are the exam and will be scored. They are designed to give you the opportunity to relate your experience and training background to the major activities (Work Behaviors) performed in this position. Failure to provide complete and accurate information may delay the processing of your application, or result in a lower-than-deserved score or disqualification. Youmustcomplete the applicationandanswer the supplemental questions. Resumes, cover letters, and similar documents will not be reviewed for the purposes of determining your eligibility for the position or to determine your score.

All information you provide on your application and supplemental questions is subject to verification. Any misrepresentation, falsification or omission of material facts is subject to penalty. If requested, you must provide documentation, including names, addresses, and telephone numbers of individuals who can verify the validity of the information you provide in the application and supplemental questions.

Read each work behavior carefully. Determine and select which "Level of Performance" most closely represents your highest level of experience/training. List the employer(s)/training source(s) from your Work or Education sections of the application where you gained this experience/training.The "Level of Performance" you choose for each work behavior must be clearly supported within the description of the experience and training information entered in your application or your score may be lowered.In order to receive credit for experience, you must have worked in a job for at least six months in which the experience claimed was a major function.

If you have read and understand these instructions, please click on the "Yes" button and proceed to the exam questions.

If you have general questions regarding the application and hiring process, please refer to ourFAQ page (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) .

+ Yes

10

WORK BEHAVIOR 1 – ANALYSIS AND QUALITY ASSURANCE

Reviews and analyzes financial institution documentation for deficiencies, irregular or illegal activities, and regulatory compliance. Reviews examination reports for technical conformance with regulations. Reports errors detected in documentation and recommends potential resolution.

Levels of Performance

Select the Level of Performance that best describes your claim.

+ A. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I was responsible for reporting any concerns and recommending and/or implementing potential resolution.

+ B. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I reported the concerns; however, another party was responsible for recommending potential resolution.

+ C. I do not have the experience listed above but I have successfully completed college-level coursework related to financial analysis, data analysis, qualitative business analysis, financial auditing, financial research, financial fraud investigations, or business law.

+ D. I have NO experience or coursework related to this work behavior.

11

In the text box below, please describe your experience as it relates to the level of performance you claimed in this work behavior. Please be sure your response addresses the items listed below which relate to your claim. If you indicated you have no work experience related to this work behavior, type N/A in the box below.

+ The name(s) of the employer(s) where you gained this experience.

+ The actual duties you performed related to reviewing and analyzing financial documentation.

+ Your level of responsibility.

12

If you have selected the level of performance pertaining to college coursework, please provide your responses to the items listed below. If you indicated you have no education/training related to this work behavior, type N/A in the text box below.

+ College/University

+ Course Title

+ Credits/Clock Hours

13

WORK BEHAVIOR 2 – FINANCIAL ANALYSIS

Applies relevant financial analysis theories and practices for review of earnings, capital, balance sheet composition, and financial performance ratio indicators. Uses financial records to evaluate financial solvency. Analyzes balance sheet, income statements, comparative analyses, earning trends, internal and external audits and other written reports.

Levels of Performance

Select the Level of Performance that best describes your claim.

+ A. I have experience applying relevant accounting theories and practices to complete various financial analysis techniques. I was RESPONSIBLE for the evaluation and management of financial performance.

+ B. I have experience reviewing and recommending relevant financial analysis techniques, but my responsibilities were limited to providing information to my supervisor.

+ C. I do not have the experience listed above but I have successfully completed college-level coursework related to finance or accounting.

+ D. I have NO experience or coursework related to this work behavior.

14

In the text box below, please describe your experience as it relates to the level of performance you claimed in this work behavior. Please be sure your response addresses the items listed below which relate to your claim. If you indicated you have no work experience related to this work behavior, type N/A in the box below.

+ The name(s) of the employer(s) where you gained this experience.

+ The actual duties you performed related to completing various financial analyses or accounting transactions.

+ Your level of responsibility.

15

If you have selected the level of performance pertaining to college coursework, please provide your responses to the items listed below. If you indicated you have no education/training related to this work behavior, type N/A in the text box below.

+ College/University

+ Course Title

+ Credits/Clock Hours

16

WORK BEHAVIOR 3 – WRITTEN COMMUNICATION

Prepares written, technical, or narrative documents related to the inspections of records and documents for adherence to policies, rules, and regulations. Authors narrative and analytical reports that convey the findings of examinations that include recommendations for corrective action. Prepares correspondence to communicate issues and corrective action recommendations to management personnel. Communicates findings and other concerns with the supervisor.

Levels of Performance

Select the Level of Performance that best describes your claim.

+ A. I have experience preparing written, technical, narrative, or analytical documents that convey findings. I was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.

+ B. I have experience preparing written, technical, narrative, or analytical documents that convey findings. Another party was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.

+ C. I do not have the experience listed above but I have successfully completed college-level coursework related to business or technical writing, public speaking, or communications.

+ D. I have NO experience or coursework related to this work behavior.

17

In the text box below, please describe your experience as it relates to the level of performance you claimed in this work behavior. Please be sure your response addresses the items listed below which relate to your claim. If you indicated you have no work experience related to this work behavior, type N/A in the box below.

+ The name(s) of the employer(s) where you gained this experience.

+ The actual duties you performed related to preparing written, technical, narrative, or analytical documents.

+ Your level of responsibility.

18

If you have selected the level of performance pertaining to college coursework, please provide your responses to the items listed below. If you indicated you have no education/training related to this work behavior, type N/A in the text box below.

+ College/University

+ Course Title

+ Credits/Clock Hours

Required Question

Employer

Commonwealth of Pennsylvania

Address

613 North Street

Harrisburg, Pennsylvania, 17120

Website

http://www.employment.pa.gov