Introduction
The primary mission of the Office of the Attorney General Securities Division is to protect Maryland investors from investment fraud and misrepresentation.
GRADE
16
LOCATION OF POSITION
Office of the Attorney General
Securities Division
200 St. Paul Place, Baltimore, Maryland 21202
Main Purpose of Job
The Administrator I position will function as an Examiner in the Securities Division of the Office of the Attorney General. The Examiner will work primarily in the Investment/Adviser/Broker-Dealer Unit, although may be required to work with other units.
POSITION DUTIES
Job functions include: conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants’ financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and broker-dealers and their agents; drafting correspondence to applicants outlining deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; responding to inquiries from applicants, registrants, their counsel and the public, including providing application status reports; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants, registrants, and filings; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act.
Other duties include: consulting with Assistant Attorneys General in the Division on matters of policy and legal interpretation and assisting the Assistant Attorneys General with disciplinary and enforcement proceedings; supervising secretary and registration assistant in conjunction with other examiners and Assistant Attorneys General; being available to perform examiner functions in different units as the need arises.
MINIMUM QUALIFICATIONS
Education: Graduation from an accredited high school or possession of a high school equivalency certificate.
Experience: Five years of administrative staff or professional work.
Notes:
1. Candidates may substitute 30 college credit hours from an accredited college or university for each year up to four years of the required experience.
2. Candidates may substitute the possession of a Bachelor's degree from an accredited college or university and one year of experience in administrative staff or professional work for the required experience.
3. Candidates may substitute the possession of a Master's degree from an accredited college or university for the required experience.
4. 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 experience.
DESIRED OR PREFERRED QUALIFICATIONS
1. Experience working with MS Word, Access and Excel programs.
2. Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement.
3. Experience working with and/or reviewing the books and records of investment advisers, broker-dealers or other financial professionals.
LICENSES, REGISTRATIONS AND CERTIFICATIONS
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.
SELECTION PROCESS
Please make sure that you provide sufficient information on your application to show that you meet the qualifications 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 placed on the eligible (employment) list for at least one year.
EXAMINATION PROCESS
The assessment may consist of a rating of your education, training, and experience related to the requirements of the position. It is important that you provide complete and accurate information on your application. Please report all experience and education that is related to this position.
BENEFITS
FURTHER INSTRUCTIONS
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 recruitment, please call 410-576-6440 or email jobs@oag.state.md.us.
TTY Users: call via Maryland Relay
As an equal opportunity employer, Maryland is committed to recruiting, retaining and promoting employees who are reflective of the State’s diversity. People with disabilities and bilingual candidates are encouraged to apply. We thank our Veterans for their service to our country.
