SECURITIES EXAMINER 3 - 09022025- 70946

Job Information

DIVISONAL PROMOTIONAL

LOCATION OF (1) POSITION(S) TO BE FILLED: DEPARTMENT OF COMMERCE & INSURANCE, SECURITIES DIVISION, DAVIDSON COUNTY

Qualifications

Education and Experience: Education equivalent to graduation from a standard high school and experience equivalent to four years of full-time professional experience in one or a combination of the following: providing accounting, auditing, or financial services; conducting financial-related investigations; providing compliance services within any investment-related industry; examining financial institutions; or practicing law AND two years full-time professional securities examination experience with a state or federal securities regulatory agency or a self-regulatory organization.

Substitution of Education for Experience: Graduation from an accredited college or university with a bachelor's degree and experience equivalent to two years of full-time professional experience in securities examination experience with a state or federal securities regulatory agency or a self-regulatory organization.

NSQs: A valid motor vehicle license must be required for employment in some positions.

Overview

This classification functions at the advanced working level with a moderate sized workload performing examination work of complex difficulty. An employee in this class is responsible for examining applications for registration of securities offerings, broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives. The employee is also responsible for conducting post-registration examinations for Tennessee based broker-dealers and investment advisers. This class differs from that of the Securities Examiner 2* in that the latter handles less complex examinations and does not conduct risk assessments.

Responsibilities

1. Examines filings for securities offerings, including registration applications, exemption filings, and notice filings to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules. Communicates filing deficiencies to issuers.
2. Examines applications for industry registrations and exemptions, including broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, and issuer-dealers to determine whether filing requirements are met pursuant to the Tennessee Securities Act and Rules. Communicates filing deficiencies to applicants.
3. Conducts post-registration examinations to review the books and records of Tennessee based broker-dealers and investment advisers to ensure compliance with the Tennessee Securities Act and Rules. Periodically travels within Tennessee to conduct on-site examinations, including overnight stays. Works within NASAA's NEMO 2.0 program to conduct examinations.
4. Comprehends securities laws and rules and serves as a subject matter expert regarding the compliance requirements of the Tennessee Securities Act and Rules, NASAA's Electronic Filing Depository (EFD), and FINRA's Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD).
5. Refers Tennessee Securities Act and Rules violations and disqualifications of securities offering filings, industry filings, and post-registration examinations to the Director of Registration.
6. Trains other Securities Examiners and Investigators.
7. Completes monthly and weekly reports providing statistics on securities offering filings, industry filings, and post-registration examinations.
8. Collaborates with other securities regulators to discuss market and industry trends, examination findings, and other relevant industry information and topics.
9. Conducts a risk assessment to determine which broker-dealers and investment advisers are to be examined during the fiscal year.

Competencies (KSA's)

Competencies:
1. Drives Results
2. Instills Trust
3. Communicates Effectively
4. Manages Complexity
5. Manages Ambiguity

Knowledges:
1. Economics and Accounting
2. Customer and Personal Service
3. English Language

Skills:
1. Critical Thinking
2. Complex Problem Solving
3. Time Management
4. Judgment and Decision Making
5. Social Perceptiveness

Abilities:
1. Written Comprehension
2. Deductive Reasoning
3. Inductive Reasoning
4. Information Ordering

Tools & Equipment

1. Laptop/Computer
2. Basic office equipment

TN Driver Standards

State of Tennessee positions that may involve driving responsibilities require candidates to meet the following minimum driver qualifications:

• A valid driver's license
• For the past five years, the candidate's driver record must not have record of the following violations: driving under the influence (DUI), reckless driving, license suspension for moving violations, more than 4 moving violations.

Please include your Driver's License Information under the Licenses and Certifications section of your application.

**Agencies may allow an exception based on other factors.