at State of Vermont in Montpelier, Vermont, United States
Job Description
OverviewAs an Examiner for the Vermont Department of Financial Regulation, Securities Division, your primary responsibilities include examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms to ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations. In the course of each examination, the Examiner will analyze the firm’s books and records, trading practices, fee structure, and compliance policies to ensure that they comply with applicable law. Examinations are conducted both on-site and remotely.
An Examiner also investigates Vermont investor complaints and processes state investment adviser registration applications. An Examiner may occasionally engage in educational outreach events on behalf of the Division. An Examiner must be self-motivated and possess strong time management, organization, critical thinking, and communication skills.
The examiner position is primarily a telework position with a Montpelier in-office day at least one day a week. Some travel is required for on-site examinations and trainings.
As of July 14, 2025, the step 1 rate for pay grade 23 will be $27.50 per hour.
Environmental FactorsDuties are performed in a standard office setting as well as at field examination sites in Vermont and out of state. Occasional out of state travel and work outside normal hours may be required. Private means of transportation must be available for travel. There is significant interaction with the personnel of financial services firms and with attorneys, sometimes in adversarial situations.
To view full details and how to apply, please login or create a Job Seeker account