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Licensing Coordinator (Securities Specialist) - Anticipated Vacancy - Agency Only

Gardiner , Maine , United States | Professional Technical | Full-time

Apply by: June 13, 2025

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Department of Professional & Financial Regulation (and Boards) - Office of SecuritesJob Class Code:0427

Grade: 23/Professional & Technical

Salary: $49,275.20-$69,139.20/Annually

Protect Maine investors from fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets with the Maine Office of Securities, an agency within the Department of Professional and Financial Regulation.

The Licensing Coordinator has primary responsibility for licensing broker-dealers and agents and assists with licensing investment advisers and representatives. This position requires both independent work and close coordination with other Office staff to ensure industry compliance with applicable laws and regulations.

If you are a detail-oriented, personable team player with strong writing and communication skills, consider joining our team! The Office of Securities is a collaborative and supportive workplace that offers excellent benefits and the satisfaction of working for the public good. Hybrid work schedules are available after an initial training period.

Primary responsibilities include:

+ Processing license applications from investment advisers, broker-dealers, and their representatives.

+ Reviewing disciplinary records and other disclosures relating to licensed professionals and referring for further investigation as appropriate.

+ Drafting consent agreements and orders, correspondence, and notices to industry.

+ Responding to inquiries from the investing public and regulated firms and professionals.

+ Assisting with public outreach, investor and industry education.

+ Maintaining licensing records and preparing statistical summaries and reports.

Skills or knowledge required:

+ Excellent attention to detail and strong organizational skills.

+ Ability to communicate clearly and respectfully with agency staff, members of the regulated industry, and the public.

+ Strong working knowledge of Microsoft Word and Excel.

Minimum qualifications:

Education, training, and/or experience in investigations, compliance, business administration, securities, finance, law, or another closely related field demonstrating competency in analyzing financial documents, preparing informational reports, working in a collaborative environment, interpreting policies, rules, and statutes, and developing solutions based on findings.

Preference will be given to those applicants:

Comfortable with Microsoft collaboration tools including Teams, SharePoint, and OneDrive.

Contact information:

Questions about this position should be directed to Cathy Williams Director of Examinations & Licensing [email protected]

Application Instructions:

Interested applicants need to apply online by selecting the "Apply for this opening" button along with uploading a cover letter, current resume, and copies of any transcripts or certifications you wish to have considered while evaluating your application. In order for us to properly determine if you meet the minimum qualifications for any posting, you must be sure your resume includes month and year for any experience listed along with the duties and responsibilities associated with each particular time period. Any experience that was not full-time employment should be identified as such.

If you require a paper application, please download and print one here https://www.maine.gov/bhr/state-jobs/application-process or contact our office at 207-623-6700. Paper applications for this posting should be submitted along with cover letter and resume before the closing date to Security & Employment Service Center, 45 Commerce Drive, Augusta, ME 04330 or faxed to 207-287-2018. Be sure title of the job you are applying for is included. Applications cannot be accepted after the posting closing date.

Benefits of working for the State of Maine:

No matter where you work across Maine state government, you find employees who embody our state motto—"Dirigo" or "I lead"—as they provide essential services to Mainers every day. We believe in supporting our workforce's health and wellbeing with a valuable total compensation package, including:

+ Work-Life Fit – Rest is essential. Take time for yourself using 13 paid holidays, 12 days of sick leave, and 3+ weeks of vacation leave annually. Vacation leave accrual increases with years of service, and overtime-exempt employees receive personal leave.

+ Health Insurance Coverage – The State of Maine pays 85%-95%of employee-only premiums ($11,196.96 - $12,514.32 annual value), depending on salary. Use this chart to find thepremium costs for you and your family, including the percentage of dependent coverage paid by the State.

+ Dental Insurance – The State of Maine pays 100% of employee-only dental premiums ($387.92 annual value).

+ Retirement Plan– The State contributes the equivalent of 13.29% of the employee's pay towards the Maine Public Employees Retirement System (MainePERS) for MSEA, or 18.09% for Confidential employees.

State employees are eligible for anextensive and highly competitive benefits package (https://www.maine.gov/bhr/state-jobs/compensation-benefits) , covering many aspects of wellness. Learn about additional wellness benefits for State employees from theOffice of Employee Health and Wellness (https://www.maine.gov/bhr/oeh/) .

Note: Benefits may vary somewhat according to specific collective bargaining agreements and are prorated for anything less than full-time.

There's a job and then there's purposeful, transformative work. Our aim is to create a workplace where you can learn, grow, and continuously refine your skills. Applicants demonstrate job requirements in differing ways, and we appreciate that many skills and backgrounds can make people successful in this role.

As an Equal Opportunity employer, Maine State Government embraces a culture of respect and awareness. We are committed to creating a strong sense of belonging for all team members, and our process ensures an inclusive environment to applicants of all backgrounds including diverse race, color, sex, sexual orientation or gender identity, physical or mental disability, religion, age, ancestry, national origin, familial status or genetics.

If you’re looking for a great next step, and want to feel good about what you do, we’d love to hear from you. Please note reasonable accommodations are provided to qualified individuals with disabilities upon request.

Thinking about applying?

Research shows that people from historically excluded communities tend to apply to jobs only when they check every box in the posting. If you’re currently reading this and hesitating to apply for that reason, we encourage you to go for it! Let us know how your lived experience and passion set you apart.