Missouri Secretary of State
  • 27-Mar-2017 to 31-May-2017 (CST)
  • Jefferson City, MO, USA
  • $2,812-$3,017 per month
  • Salary
  • Full Time


Definition: A Securities Compliance Examiner conducts examinations and inspections of broker-dealers and investment advisers. 


Job Functions and General Responsibilities: A Securities Compliance Examiner conducts compliance examinations and inspections authorized by the Missouri Securities Act of 2003. The examinations are generally conducted on-site at the location of the broker-dealer ("BD") or investment adviser ("IA"), although certain "desk audits" conducted remotely. Examinations involve the application of auditing modules designed by the North American Securities Administrators Association ("NASAA"). Securities Compliance Examiners prepare notices for audits, and prepare initial document requests and written inspection inquiries. Securities Compliance Examiners review documents, interview employees and interpret applicable laws and regulations to assess deficiencies and noncompliance. After completing examinations, examiners prepare deficiency letters that include pertinent observations, findings, evaluations and recommendations. Securities Compliance Examiners also conduct reviews and make recommendations concerning applications for registration by agents or representatives of BDs and IAs that are flagged due to disclosures or other concerns. Securities Compliance Examiners must be capable of identifying trends in BD and IA compliance, and recommending and performing exam sweeps that analyze such trends. At times, a Securities Compliance Examiner may need to identify violations of applicable laws and regulations and recommend the opening of a formal investigation. Securities Compliance Examiners may assist Investigators in the investigation of matters referred for enforcement. Securities Compliance Examiners prepare quarterly Compliance Exam summaries, and assist in the preparation of public documents that identify the most common BD and IA deficiencies and the most egregious deficiencies that led to enforcement cases.


Knowledge, Skills, and Abilities: Securities Compliance Examiners must be skilled at applying rules and guidelines to specific circumstances so they may identify and analyze deficiencies and errors. Familiarity with customary record-keeping and management practices in the securities or general business industry is preferred. Securities Compliance Examiners must be able to pay particular attention to detail and be task-oriented, and be able to communicate effectively in writing. Securities Compliance Examiners must have good organization skills and the ability to work independently with limited direction.


Qualifications: Securities Compliance Examiners should have a bachelor's degree.


Missouri Secretary of State
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