Assistant Director Capital Markets

at State of Vermont in Montpelier, Vermont, United States

Job Description

The Vermont Department of Financial Regulation, Securities Division (Division), is seeking an Assistant Director, Capital Markets (ADCM), to contribute to the Division's mission of investor protection and market integrity. 

The primary responsibilities include the review of securities offerings filed with the Division to facilitate capital formation. The ADCM will review offering circulars, prospectuses, a variety of financial statements, and industry forms to determine compliance with the Vermont Securities Act and Vermont Securities Regulations. The ADCM will communicate verbally and in writing with issuers and legal counsel regarding the status of the offering(s). 

The ADCM must possess the ability to analyze complex regulatory filings and have knowledge of the characteristics of a variety of investment instruments. Additionally, possess strong analytical and communication skills.

Work is performed at the office in Montpelier, VT. In addition to in-state travel, some out-of-state travel may be required for training sessions with the North American Securities Administrators Association, seminars, or industry meetings, for which private transportation might be necessary. Appearances at legislative and regulatory hearings regarding capital markets may be involved.