Registration and Consumer Affairs Administrator

at State of Vermont in Montpelier, Vermont, United States

Job Description

The State of Vermont Securities Division is looking for a Registration & Consumer Affairs Administrator to focus on the review of registration applications from securities firms and affiliated individuals. The application review requires the analysis of legal and financial documents and disclosure history to determine if registration should be granted.  The position requires regular interaction with securities industry partners. Additionally, the ideal candidate will collectively work with the securities division to present targeted outreach to the general public. Work is performed under the direction of the Registration and Administration Supervisor.

Duties are performed in a hybrid working environment in Vermont. There is significant interaction with the personnel of financial services firms, and with attorneys, sometimes in adversarial situations.