Public Service Manager II (Director of Examinations & Licensing) Office of Securities

Gardiner, Maine, United States | Management | Full-time

Apply by: June 5, 2020
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Department of Professional & Financial Regulations, Office of Securities

Opening Date:   May 22, 2020

Closing Date: June 5, 2020 

Job Class Code:  MA31
Grade:   31
Salary:   $61,443.20 - $84,489.60
Location: Gardiner 

The Director of Examinations and Licensing is responsible for ensuring efficient licensing of investment advisory forms, all of which are small businesses, as well as ensuring the compliant operation of both Maine investment advisors and broker dealer branches and the licensed individuals affiliated with them.  The Director also is the subject matter expert for the office which includes responsibility for monitoring stock market activity and anticipated effects from the global economy and other factors, including the current pandemic situation. 

Job Duties:

  • Overseeing and directing the broker-dealer and investment advisor examination program which includes conducting examinations, developing and maintaining metrics and supervisory examination and licensing staff
  • Advising and making recommendations to the Administrator, training staff on policies and rules related to the operation of the security industry, training staff and advising the Administrator on trends, emerging products, investment themes and developments in the security industry  
  • Assisting investigative and enforcement staff in review of complex issues as part of possible enforcement actions 

Minimum Qualifications: 

A ten (10) year combination of education and experience providing knowledge of the securities industry and securities regulation of or a similar financial services field; which includes at least two (2) years of significant responsibility in administration, supervision or management  and a least two (2) years of securities regulatory examination experience or regulatory examination experience in a similar regulatory field.   

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: 

Mary-Jayne Monroe, Human Resources, at (207)623-6736 or Mary-Jayne.Monroe@maine.gov;

Why work for the State of Maine?

Benefits:

The value of State’s share of Employee’s Retirement Contribution:19.27% of pay for Confidential positions

The value of State-paid Dental Insurance:  $14.31 biweekly.

The value* of State-paid Health Insurance: 

100% State Contribution = $461.75 biweekly / Employee pays nothing

95%  State Contribution = $438.66 biweekly / Employee pays: 5%  = $23.09 biweekly

90%  State Contribution = $415.58 biweekly / Employee pays:10% = $46.17 biweekly

85%  State Contribution = $392.49 biweekly / Employee pays:15% = $69.26 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.