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Recruitment #19-002586-0075



Main Purpose of Job

The Attorney General's Office is accepting applications for a contractual Examiner in the Securities Division. The Examiner will work primarily in the Securities Division's Investment Adviser (IA)/Broker-Dealer (BD) Unit.


Duties include: conducting on-site inspections (routine/for cause) of IA and BD firms to include interviewing registrants, reviewing and analyzing firm financial and non-financial books and records; drafting of and follow-up to correspondence outlining deficiencies found during on-site inspections; reviewing and analyzing initial and renewal firm and individual registration applications, filings and amendments; drafting correspondence outlining filing deficiencies and requesting additional information; drafting pleadings for and testifying in administrative actions involving registration; providing status reports; responding to inquiries from IAs/BDs, their counsel and the public; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD); and reviewing and analyzing filings for franchise and securities offerings under the Maryland franchise and securities laws, respectively. Other duties include working with Assistant Attorneys General (AAGs) on policy and legal matters and with disciplinary and enforcement proceedings; overseeing secretary and registration assistant in conjunction with other examiners and AAGs; performing examiner functions in other units as needed.


Education: A Bachelor's degree from an accredited college or university.

Experience: Four years of experience in administrative staff or professional work.


1. Additional experience in administrative staff or professional work may be substituted on a year-for-year basis for the required education.

2. Additional graduate level education at an accredited college or university may be substituted at the rate of 30 semester credit hours on a year-for-year basis for the required experience.

3. Candidates may substitute U.S. Armed Forces military service experience as a commissioned officer involving staff work related to the administration of rules, regulations, policy, procedures and processes, or overseeing or coordinating unit operations or functioning as a staff assistant to a higher ranking commissioned officer on a year-for-year basis for the required education and experience.


Employees in this classification may be assigned duties which require the operation of a motor vehicle. Employees assigned such duties will be required to possess a motor vehicle operator's license valid in the State of Maryland.


Please make sure that you provide sufficient information on your application (and on separate pages, if necessary) to show that you meet the qualification for this recruitment. 

All information concerning your qualifications must be submitted by the closing date.  We will not consider information submitted after this date. 

Successful candidates will be ranked as Best Qualified, Better Qualified, or Qualified and placed on the employment (eligible) list for at least one year.


Contractual employees who work for an agency covered under the State Employee and Retiree Health and Welfare Benefits Program, have a current employment contract and work 30 or more hours a week (or on average 130 hours per month) may be eligible for subsidized health benefits coverage for themselves and their dependents. As a contractual employee, you will be responsible for paying 25% of the premiums for your medical and prescription coverage, including any eligible dependents you have enrolled. The State of Maryland will subsidize the remaining 75% of the cost for these benefits. You can also elect to enroll in dental coverage, accidental death and dismemberment insurance, and life insurance, but will be responsible to pay the full premium for these benefits.
Leave may be granted to a contractual employee who has worked 120 days in a 12 month period. This leave accrues at a rate of one hour for every 30 hours worked, not to exceed 40 hours per calendar year.


Online applications are STRONGLY preferred.

If the online application process is not available, please send your paper application and supplemental questionnaire (if applicable) to: Yolanda Colkley, Fair Practices Officer, 200 St. Paul Place, Baltimore, MD 21202 or fax to 410-576-6447.

If you have specific questions about this recruitment, please call 410-576-6440 or email

TTY Users: call via Maryland Relay.

We thank our Veterans for their service to our country, and encourage them to apply.

As an equal opportunity employer Maryland is committed to recruiting, retaining and promoting employees who are reflective of the State’s diversity.