Securities Examiner I

Job description

Office of the Illinois Secretary of State Alexi Giannoulias Job Title: Securities Examiner I Division: Registration & Licensing Union: IFT Location: 421 E. Capitol Ave., Springfield, IL - Sangamon County Salary: Range from $4,496 to $7,698 monthly - commensurate with experience. Benefits: https://cms.illinois.gov/benefits/stateemployee.html Overview: Receives training and assists in conducting studies, analysis, and processing of applications for registration and renewals of Investment Adviser, Investment Adviser Representatives, Mutual Funds, UIT Notifications, and amendments, U-5 forms and federal covered securities, Broker Dealers, salespersons and other registrants with the Department; receives training and assists in analyzing and processing securities registrations and exempt filings and applications; gathers financial data and background information relative to the analysis of applications for registration; receives training to conduct investigative financial reviews of registered entities for suspected fraud and compliance with the Illinois Securities Law; upon training, assists in performing registration related analysis and processing of applications received by the Depar...