• Securities Examiner I

    State of Arkansas (Little Rock, AR)


    SECURITIES EXAMINER I

    Date: Jul 15, 2025

     

    Req ID: 50508

    Location:

    Little Rock, AR, US, 72202

     

    Category: STATE SECURITIES DEPARTMENT

     

    Anticipated Starting Salary: $58,700

     

    Position Number: 22180842

     

    County: Pulaski

     

    Posting End Date: 08/05/2025

     

    Anticipated Starting Salary: $58,700

     

    Arkansas Securities Department: Corporate Finance Division

     

    The mission of the Department of Commerce is to champion economic opportunities through strategic initiatives and an equitable regulatory environment that attracts and grows businesses, safeguards consumers, enhances workforce quality, and energizes our infrastructure, creating a better quality of life for all Arkansans.

    Position Information

    Job Series:Financial – Insurance Financial Examiners

     

    Classification:Securities Examiner I

     

    Class Code:FIF07P

     

    Pay Grade:SPC01

     

    Salary Range:$58,700 – $86,876

    Job Summary

    The Securities Examiner I assists in evaluating securities firms, broker-dealers, and investment advisers in an attempt to ensure compliance with securities laws and regulations. This role involves supporting senior examiners by analyzing financial transactions, assessing operational practices, and identifying potential risks. The Securities Examiner I gains hands-on experience in securities regulation while contributing to the transparency and stability of financial markets.

    Primary Responsibilities

    Assist in conducting examinations of securities firms, broker-dealers, and investment advisers under the supervision of senior examiners. Review and analyze financial records, investment activities, and operational practices to identify abnormalities, irregularities, or areas of concern. Evaluate basic compliance with securities laws, regulations, and policies. Support the preparation of examination reports by summarizing findings and drafting sections of the report. Participate in meetings with securities firm representatives to discuss findings and gather additional information. Stay informed about changes in securities regulations and financial industry practices through training and research. Collaborate with team members to enhance examination processes and ensure accurate assessments.

     

    Knowledge and Skills

     

    Strong analytical and problem-solving skills. Attention to detail and accuracy in reviewing financial data. Effective written and verbal communication skills for reporting findings. Willingness to learn and adapt in a regulatory environment. Ability to work both independently and as part of a team.

    Minimum Qualifications

    A bachelor’s degree in accounting, finance, economics, business administration, or a related field. Coursework should include subjects such as accounting, financial markets, securities regulation, and investment analysis. A general understanding of financial principles and the securities industry.

     

    Licensure/Certifications

     

    N/A OTHER JOB RELATED EDUCATION AND/OR EXPERIENCE MAY BE SUBSTITUTED FOR ALL OR PART OF THESE BASIC REQUIREMENTS, EXCEPT FOR CERTIFICATION OR LICENSURE REQUIREMENTS, UPON APPROVAL OF THE QUALIFICATIONS REVIEW COMMITTEE.

     

    The State of Arkansas is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, age, disability, citizenship, national origin, genetic information, military or veteran status, or any other status or characteristic protected by law.

     

    Nearest Major Market:Little Rock