Securities Examiner I

State of Vermont

Securities Examiner I ensuring compliance with Vermont Securities Regulations for financial firms. Analyzing records, overseeing advisories, and engaging in investor complaint investigations.

Posted 7/17/2026full-timeMontpelier • Vermont • 🇺🇸 United StatesJuniorMid-Level💰 $28 - $44 per hourWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations, alongside strong analytical skills in financial analysis, auditing, and compliance oversight. Engages effectively in educational outreach and investigation of investor complaints.

Highest-signal resume keywords

Compliance OversightFinancial AnalysisAuditing ExperienceRegulatory KnowledgeEducational Outreach

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Financial AnalysisAuditingComplianceInvestigationRecord AnalysisFee Structure AnalysisTrading Practices Analysis

Soft Skills

CommunicationAnalytical ThinkingProblem Solving

Industry Keywords

Vermont Uniform Securities ActVermont Securities RegulationsBroker-Dealer FirmsInvestment Advisory FirmsInvestor ComplaintsState Investment Adviser Registration

About the role

Key responsibilities & impact

Examination and ongoing oversight of broker-dealer firms and state registered investment advisory firms
Ensure compliance with the Vermont Uniform Securities Act and Vermont Securities Regulations
Analyze the firm's books and records, trading practices, fee structure, and compliance policies
Investigate Vermont investor complaints and processes state investment adviser registration applications
Engage in educational outreach events on behalf of the Division

Requirements

What you’ll need

Bachelor’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field OR Associate’s degree or higher in business administration, accounting, finance, economics, public administration, law, or an equally pertinent field AND two (2) or more years of experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience
High school diploma or equivalent or higher AND four (4) years or more experience in accounting, auditing, financial analysis, or compliance in the financial services field or for a regulatory body that oversees financial services firms or equivalent experience.

Benefits

Comp & perks

80% State paid medical premium and a dental plan at no cost for employees and their families
11 paid holidays each year and a generous leave plan
State Paid Family and Medical Leave Insurance (FMLI)
Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan
Tuition Reimbursement
Flexible spending healthcare and childcare reimbursement accounts
Low cost group life insurance
Incentive-based Wellness Program
Qualified Employer for Public Service Student Loan Forgiveness Program