Senior Securities Examiner

Gardiner, Maine, United States Full-time

Department of Professional and Financial Regulation, Office of Securities

Opening Date: November 19, 2018

Closing Date: December 31, 2018

Job Class Code: 0349
Grade: 24
Salary: $40,227 – $54,516
Location: Gardiner

The Maine Department of Professional and Financial Regulation Office of Securities seeks a Senior Securities Examiner.

Primary responsibilities include:  

  • Conduct broker-dealer and investment adviser field and desk inspections to ensure compliance with state law, rules, and regulations
  • Review license applications for broker-dealers, investment advisers, and representatives
  • Examine quality of books, records, applications, internal controls, client files, correspondence, and related transactions in order to determine that transactions are conducted in accordance with applicable law, regulations, and policy
  • Analyze and evaluate financial transactions and positions and monitor company operations to ensure they operate consistent with legal requirements
  • Meet with and maintain contact with securities firms and industry professionals in order to discuss examination findings
  • Assist investigative staff with the review and analysis of financial and transactional information as part of consumer complaint and enforcement activities
  • Prepare examination reports with findings and recommendations as well as supporting data
  • Assist investigative staff with the review and analysis of financial and transactional information as part of consumer complaint and enforcement activities

 To be successful in the position you must have knowledge of and experience in:

  • Broker-dealer and/or investment adviser company/agency operations and management practices
  • Securities instruments, including private placement offerings and variable insurance products
  • Applicable laws, rules, regulations, policies, procedures, paperwork, terminology, and core operations
  • Ability to stay current and understand, discuss, and apply applicable rules, regulations, and policies
  • Writing clear, effective, concise, and precise reports
  • Managing multiple tasks on a daily basis
  • Acting as a lead worker in group projects


A six (6) year combination of education, training, and/or experience in the securities industry, securities regulation, corporate finance, or accounting and auditing, which includes at least one (1) year of financial examination work experience.

Questions about this position should be directed to Samuel M. Carter, Esq., Director of Examination & Licensing, at (207) 624-8548 or

Application Instructions:

Interested applicants need to apply online by selecting the "Apply for this opening" button along with uploading a cover letter, current resume, copies of post-secondary transcripts, licensing, registration and certifications.  If you require a paper application, please contact Human Resources at 623-6700. 

Contact Information: 

Annette Caron Nash, Human Resources, at (207)623-6734 or



The value of State’s share of Employee’s Retirement Contribution: 15.37% of pay for bargaining unit positions.

The value of State-paid Dental Insurance:  $13.13 biweekly.

The value* of State-paid Health Insurance: 

100% State Contribution = $444.68 biweekly / Employee pays nothing

 95%  State Contribution = $422.45 biweekly / Employee pays: 5%  = $22.23 biweekly

 90%  State Contribution = $400.21 biweekly / Employee pays:10% = $44.47 biweekly

 85%  State Contribution = $377.98 biweekly / Employee pays:15% = $66.70 biweekly

*The level of the actual value of state paid Health Insurance will be based on the employee's wage rate and status with regard to the health credit premium payment.

Maine State Government is an Equal Opportunity/Affirmative Action employer.  We provide reasonable accommodations to qualified individuals with disabilities upon request.