Full job description Advertisement Closes
5/16/2024 (8:00 PM EDT)
24-02864
Financial Institutions Examiner I
Pay Grade
13
Salary
$4,557.12 Monthly
Employment Type
EXECUTIVE BRANCH | FULL TIME | ELIGIBLE FOR OVERTIME PAY | 18A | 40.0 HR/WK
Click here for more details on state employment. Hiring Agency
Public Protection Cabinet | Department of Financial Institutions
Location
320 Whittington Pkwy
Louisville, KY 40222 USA
The agency may authorize the selected candidate to telecommute at times. The agency may terminate or modify the telecommuting arrangement at any time.
Description
The Kentucky Department of Financial Institutions is responsible for supervision of the Financial Services Industry and for chartering, licensing and registering various financial institutions, securities firms and professionals operating in the state of Kentucky.
We are looking for a Financial Institutions Examiner I to conduct Investigations to protect Kentucky citizens from financial fraud and to ensure compliance with the Kentucky Securities Act. Work in this position includes investigating securities fraud and other potential violations of the Act.
The candidate selected for this examiner role will investigate broker/dealers, registered representatives, investment advisors, agents, and various unlicensed activity. Extensive training is offered, both internally and externally, through on-site and off-site venues. The position offers a competitive compensation package, retirement contributions, flexible work schedules and learning opportunities.
The ideal candidate will have strong verbal and written communication skills, be highly self-motivated, self- directed, and have good analytical skills.
Most in-state travel is commutable; however, overnight stays are required approximately 30 % of the time.
Responsibilities include, but are not limited to, the following: Perform entry level investigations Learn appropriate procedures to procure records Write reports and correspondence Some travel is required for both investigation and training purposes Will conduct supervised investigations at the entity's location Will attain entry level knowledge on analyzing data and statute interpretation of federal and state laws Be prepared to meet with the manager/ legal staff to give examination findings Be organized and timely with the submission reports and follow-up Be self- motivated Other responsibilities as they arise. Minimum Requirements
EDUCATION: Graduate of a college or university with a bachelor's degree in accounting, business administration, economics, finance or a related field, or a juris doctorate.
EXPERIENCE, TRAINING, OR SKILLS: NONE
Substitute EDUCATION for EXPERIENCE: NONE
Substitute EXPERIENCE for EDUCATION: Experience as a financial institution or securities examiner, or professional experience working for a financial institution or securities regulatory agency will substitute for the required education on a year- for-year basis. OR Two years of professional experience as an officer, accountant, analyst, internal auditor, compliance officer, or related professional in a financial institution; or as a registered/licensed securities broker, dealer, agent or investment advisor representative; or as an investigator of financial fraud in the financial institutions or securities industries; or as an examiner, analyst or specialist at a state or federal regulatory agency will substitute for each year of the required education.
SPECIAL REQUIREMENTS (AGE, LICENSURE, REGULATION, ETC.): Must possess a valid driver's license prior to employment in this job classification. Must maintain any required licensure(s), certification(s), or other credentials for the length of employment in this job classification. Employing agency is responsible for ensuring employee possesses and maintains required licensure(s), certification(s) or other credentials.
Working Conditions
Work is usually performed in the offices of the financial institution or securities entity being examined, reviewed, or investigated. Will require travel usually within a defined geographic "district." Travel outside one's district may be required periodically. Work may also be performed in the Department's central office or in one of its field offices.
Probationary Period
This job has an initial and promotional probationary period of 12 months, except as provided in KRS 18A.111.
If you have questions about this advertisement, please contact Jesse Vaughn at or .
An Equal Opportunity Employer M/F/D
