Non-Depository and Securities Compliance Examiner 1

Full Job Description

Start a rewarding career path with DoBS! The Department of Banking and Securities (DoBS) is eager to welcome an ambitious and detail-oriented Non-Depository and Securities Compliance Examiner 1 to our Division 2 team. This position provides the opportunity to examine financial non-depository institutions within the Commonwealth to ensure compliance with established laws and regulations and sound management practices. If you are ready to take your professional career up a notch, we want to hear from you!

Requirements

In this role, you will conduct less complex examinations of non-depository licensees to ensure compliance with applicable rules and regulations.

Following examinations, you will be expected to prepare reports based on violations and discuss areas of uncertainty with supervisor prior to communicating with licensee.

This position discusses examination findings with licensee supervisory staff to resolve issues and, based on those discussions, may direct the refund of overcharges or other action necessary to correct violations.

You will have the opportunity to participate in a variety of formal and on-the-job training assignments, attend basic examining or training seminars and study training materials to develop competency and skill in examining the records, operations and procedures of non-depository licensees.

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

• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• On-the-job training
• Professional development

Interested in learning more? Additional details regarding this position can be found in the position description.

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with a 60-minute lunch.
• This position is home headquartered. In order to be home headquartered, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania.
• Salary: Selected candidates who are new to employment with the Commonwealth of Pennsylvania will begin employment at the starting annual salary of $51,971 (before taxes).
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

Qualifications

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.

Other Requirements:

• This particular position also requires possession of a valid driver's license.
• You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment.
• You must meet the PA residency requirement. For more information on ways to meet PA residency requirements, follow the link and click on Residency.
• You must be able to perform essential job functions.

How to Apply:

Resumes, cover letters, and similar documents will not be 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).

If you are claiming education in your answers to the supplemental application questions, you must attach a copy of your college transcripts for your claim to be accepted toward meeting the minimum requirements. Unofficial transcripts are acceptable.

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.pa.gov/agencies/employment/how-to-apply.html and click on Veterans.

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.

Additional 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/test once for this posting.
• Your results will be provided via email.