Missouri Secretary of State
  • 05-May-2022 to Until Filled (CST)
  • Jefferson City, MO, USA
  • $3,000.00-$3,600.00 monthly
  • Salary
  • Full Time

Definition:

The Securities Registration Specialist ("Specialist") performs services under the direction of the Commissioner of Securities, Chief Counsel, and other Directors in the Securities Division. The Specialist has a particular focus on the registration of broker/dealer and investment adviser firms and individuals seeking registration in Missouri, which includes the review or exemptions, waivers of examinations and summary suspension of applications filed with the Commissioner. Additionally, the Specialist assists applicants regarding their registration status while under review in Missouri.

Primary Job Functions and General Responsibilities:

The Specialist performs various securities registration support and document review responsibilities. These duties include, without limitation:

  • Maintain appropriate documentation of securities registration activities;
  • Assist the Division with Investor Education activities;
  • Track the status of securities agent and investment adviser representative registrations, which include preparing summary suspension notifications for the Commissioner;
  • Process securities agent and investment adviser representative applications for review when responses are received from individuals seeking registration, which includes making regulatory notes in the Web CRD system;
  • Receive and track plans of heightened supervision of securities agents and investment adviser representatives
  • Conduct preliminary review of broker-dealer and state covered investment adviser firm applications to ensure that all proper documentation has been received and recorded prior to the pre-examination process;
  • Receive and catalog records of individuals seeking registration, exemption and waiver requests, which includes preparing orders granting waivers of examination;
  • The Specialist will also be asked to fulfill other support tasks, including periodic front desk coverage, answering phones, opening mail, registration payment processing and archiving as needed; and
  • Performing any other responsibilities as directed by the Commissioner of Securities, the Chief Counsel and other Directors in the Securities Division.

Knowledge, Skills, and Abilities:

  • The Specialist must be a thorough, detail-oriented professional with strong organizational and time-management skills, and have the ability to prioritize work effectively.
  • Must be able to multi-task, and work under strict time constraints, and the ability to work independently with limited direction. Strong writing and research skills are essential.
  • Should possess strong interpersonal skills and the ability to work on a team as well as have the ability to establish and maintain effective working relationships with attorneys, peers, state and federal agencies, and the public.
  • Must have word processing skills and be able to use Microsoft Outlook, Word and Excel, and become proficient in the use of the Securities Division's computer systems, which include the Division's CORE filing system and SAM II.

Qualifications:

A degree is preferred, but not required. Knowledge of securities registration and licensing is also helpful, but not required. Knowledge and experience in the financial market and customer service experience is preferred.


The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.

Missouri Secretary of State
  • Apply Now

  • * Fields Are Required

    What is your full name?

    How can we contact you?

  • Sign Up For Job Alerts!

  • Share This Page
  • Facebook Twitter LinkedIn Email
.
sos.mo.gov Internet Privacy Policy Bid Opportunities Proposed Rules Missouri State Government Employment Directions Site Map Employee Access Logo email Branch Offices Twitter Facebook YouTube Instagram
Contact Us Accessibility Info Twitter FB YouTube Insta Logo Business Services Elections & Voting Investor Protection & Securities State Library Records & Archives Administrative Rules Publications & Forms Register to Vote Check Voter Registration Start a Business Search for a Business Become a Notary View Archives Collections Show it 2 Vote Safe at Home