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Licensing Analyst 1-3

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Licensing Analyst 1-3

Salary

$2,922.00 - $5,734.00 Monthly

Location

Baton Rouge, LA

Job Type

Classified

Job Number

OFI-213846-MH

Department

GOV-Office of Financial Institutions

Opening Date

10/17/2025

Closing Date

10/24/2025 11:59 PM Central

+ Description

+ Benefits

+ Questions

About this Job

The Office of Financial Institutions is responsible for the supervision of various entities which provide financial services to the citizens of the State of Louisiana. The Office is divided into three major divisions based on general types of institutions regulated – the Depository Institutions Division, the Non-Depository Services Division, and the Securities Division. OFI i s committed to developing a highly professional staff that effectively utilizes available resources and makes sound decisions.

The Securities Licensing Analyst is responsible for the registration, licensing, and oversight of securities broker-dealer firms, broker-dealer agents, investment adviser firms, investment adviser representatives, and securities offered for sale in Louisiana. There are approximately 6,000 securities offerings, 1,500 broker-dealer firms, 173,000 broker-dealer agents, 3,900 investment adviser firms, and 8,500 investment adviser representatives currently registered or notice filed with OFI.

Minimum Qualifications

Three years of experience in the issuance, maintenance, or reinstatement of licenses; OR

Six years of full-time work experience in any field; OR

A bachelor's degree.

EXPERIENCE SUBSTITUTION:

Every 30 semester hours earned from an accredited college or university will be credited as one year of experience towards the six years of full-time work experience in any field. The maximum substitution allowed is 120 semester hours which substitutes for a maximum of four years of experience in any field.

Job Specification

The official job specifications for this role, as defined by the State Civil Service, can be foundhere (https://apps01.civilservice.louisiana.gov/onestopjobinfo/DisplayJobSpec.aspx?JobCode=165270) .

Job Duties and Other Information

Job Duties:

+ Independently reviews new and renewal applications, registrations, and notice filings. Verifies that all required documents are accurate and complete before accepting for filing. Contacts management or executive officers to discuss any discrepancies and/or missing documents and generates appropriate correspondence. Maintains securities files for which an issuer or applicant has been notified of a payment shortage or missing documents. Responds to inquiries related to applications, registrations, and notice filings and compiles and mails applicable forms and instructions. Explains and instructs applicants on the qualifications necessary to act as a broker-dealer firm, broker-dealer agent, investment adviser firm, or investment adviser representative. Researches databases for pertinent information that would affect licensing or registration decisions. Maintains all securities files and databases.

+ Analyzes fees submitted with all applications, registrations and notice filings to ensure payments are for the correct amount according to type of application, registration, or filing submitted; assigns accounting codes and posts payments for fees owed. Contacts company concerning additional fees; or if refund is due, posts payment accordingly, writes memo to Accounting, and submits memo to supervisor for approval. Once refund check is issued by Accounting, prepares and mails letter to accompany the refund check. Works with staff Accountant and Information Technology staff to resolve posting difficulties.

+ Maintains knowledge of the North American Securities Administrators Association (NASAA) registration database, the Electronic Filing Depository (EFD), for the processing of notice filings for Form NF-Unit Investments Trusts (UIT) and Form D for Regulation D, Rule 506.

+ Maintains knowledge of the Financial Industry Regulatory Authority (FINRA) Central Registration Depository (CRD) system for the processing of broker-dealer firm and agent registrations. Maintains knowledge of the FINRA Investment Adviser Registration Depository (IARD) system for the processing of investment adviser firm registrations and notice filings.

+ Maintains knowledge of the Louisiana Applicant Processing System (LAPS) for the review of fingerprint based criminal background check results.

+ Maintains knowledge of OFI’s in-house STAR System database for the processing of all securities revenue collected.

+ Reconciles the Securities Division quarterly Accounts Receivable. May compile statistical data for reports. Screens incoming telephone calls and directs them to appropriate staff. Performs general administrative support duties. Performs other duties as assigned.

Position-Specific Details:

Appointment Type: Probational, Promotional, or Job Appointment

Career Progression: This position may be filled as a Licensing Analyst 1, 2, or 3.

How To Apply:

No Civil Service test score is required in order to be considered for this vacancy.

To apply for this vacancy, click on the “Apply” link above and complete an electronic application, which can be used for this vacancy as well as future job opportunities. Applicants are responsible for checking the status of their application to determine where they are in the recruitment process. Further status message information is located under the Information section of the Current Job Opportunities page.

*Information to support your eligibility for this job title must be included in the application (i.e., relevant, detailed experience/education). Resumeswill not be accepted in lieu of completed education and experience sections on your application. Applications may be rejected if incomplete.

Louisiana is a State As a Model Employer (SAME) that supports the recruitment, hiring, and retention of individuals with disabilities.

Contact Information:

For further information about this vacancy contact:

YaVonya Kelley, HR Specialist

[email protected]

Louisiana State Government represents a wide variety of career options and offers an outstanding opportunity tomake a differencethrough public service. With an array of career opportunities in every major metropolitan center and in many rural areas, state employment provides an outstanding option to begin or continue your career.

As a state employee, you will earn competitive pay, choose from a variety of benefits, and have access to a great professional development program:

Insurance Coverage More information can be found at https://info.groupbenefits.org/

Parental Leave– Up to six weeks paid parental leave

More information can be found athttps://www.civilservice.louisiana.gov/Parental-Leave/Default.aspx

Holidays and Leave – State employees receive the following paid holidays each year:

+ New Year's Day

+ Martin Luther King, Jr. Day,

+ Mardi Gras,

+ Good Friday,

+ Memorial Day,

+ Independence Day,

+ Labor Day,

+ Veteran's Day,

+ Thanksgiving Day and Christmas Day.

***** Additional holidays may be proclaimed by the Governor

State employees earn sick and annual leave which can be accumulated and saved for future use. Your accrual rate increases as your years of service increase.

Retirement – State of Louisiana employees are eligible to participate in various retirement systems (based on the type of appointment and agency for which an employee works). These retirement systems provide retirement allowances and other benefits for state officers and employees and their beneficiaries. State retirement systems may include (but are not limited to):

+ Louisiana State Employees Retirement System (www.lasersonline.org). LASERS has provided this video (https://lasersonline.org/wp-content/uploads/2016/07/Your\_Retirement\_System.mp4) to give you more detailed information about their system

+ Teacher's Retirement System of Louisiana (www.trsl.org),

+ Louisiana School Employees Retirement System (www.lsers.net), among others

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Required Question

Employer

State of Louisiana

Address

For agency contact information, please refer to

the supplemental information above.

Louisiana State Civil Service, Louisiana, 70802

Phone

(866) 783-5462

Website

http://agency.governmentjobs.com/louisiana/default.cfm

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