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EXAMINER

ADMINISTRATOR I

Recruitment #24-006094-0012

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Introduction

The Attorney General is the chief legal officer of the State of Maryland. The Office of the Attorney General (OAG) has the general charge, supervision, and direction of the State's legal business, acting as legal advisors and representatives of the major agencies, various boards, commissions, officials, and institutions of State Government. The OAG also protects the public by civil enforcement of antitrust, civil rights, consumer protection, and securities laws and regulations and by the prosecution of organized crime, Medicaid fraud, environmental crimes, insurance fraud, state tax evasion, and other statutorily assigned matters. As Maryland's 47th Attorney General, Anthony G. Brown leads the Office with a critical focus on equity, justice, and fairness.

GRADE

16

LOCATION OF POSITION

200 St. Paul Place
Baltimore, Maryland 21202

Main Purpose of Job

The Administrator I will function as an Examiner for the Securities Division of the Office of the Attorney General.  The Examiner will work primarily in the Investment Adviser/Broker-Dealer Unit, although they may be required to work with other Units within the Division. 

POSITION DUTIES

Job duties 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: Bachelor's degree from an accredited four year college or university.

Experience: Three years of financial services work experience. 

SELECTIVE QUALIFICATIONS

Must have experience working with MS Word, Access, and Excel programs.

DESIRED OR PREFERRED QUALIFICATIONS

The ideal candidate will have:

1. Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement.
2. Experience working with and/or reviewing the books and records of investment advisers, broker-dealers, or other financial professionals.

SELECTION PROCESS

Applicants who meet the minimum and selective qualifications will be included in further evaluation. The evaluation may be a rating of your application based on your education, training and experience as they relate to the requirements of the position. Therefore, it is essential that you provide complete and accurate information on your application and answer all supplemental questions. Please report all related education, experience, dates and hours of work. Clearly indicate your college degree and major on your application, if applicable. For education obtained outside the U.S., any job offer will be contingent on the candidate providing an evaluation for equivalency by a foreign credential evaluation service prior to starting employment (and may be requested prior to interview).  

Complete applications must be submitted by the closing date. Information submitted after this date will not be added. Incorrect/incomplete application forms will not be accepted. Resumes will not be accepted in lieu of a completed application.

Successful candidates will be placed on the eligible list for at least one year.  Candidates may remain on the certified eligible list for a period of at least one year. The resulting certified eligible list for this recruitment may be used for similar positions in this or other State agencies.

BENEFITS


Health Benefits: Medical, Prescription, Dental, Vision Coverage, & Life Insurance


1. Personal - 6 days per year (prorated based on start date)
2. Annual - 10 days per year (increases every 5 years)
3. Sick - 15 days per year
4. Parental Leave - up to 60 days per birth or adoption

Local Mass Transit Benefits

FURTHER INSTRUCTIONS

Please upload a resume in addition to the online application. Online applications are STRONGLY preferred. If the online application process is not available, please send your paper application and supplemental questionnaire (if applicable) to: Gina Mallory, Human Resources, 200 St. Paul Place, Baltimore, MD 21202 or fax to 410-576-6447.   TTY Users: call via Maryland Relay

If you have specific questions about recruitment, please call 410-576-6440 or email hr@oag.state.md.us.  

The Office of the Attorney General is an equal opportunity employer that encourages all interested persons to apply regardless of race, color, religion or belief, ancestry, national origin, age, marital status, sexual orientation, gender identity and/or expression, disability, pregnancy, family or parental status, veteran status, genetic information, or any protected category prohibited by local, State or federal laws.



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