Menu

Senior Securities Specialist (Investigator) - multiple vacan

at State of Maine, Bureau of Human Resources in Gardiner, Maine, United States

Job Description

Senior Securities Specialist (Investigator) – multiple vacancies

Gardiner , Maine , United States | Professional/Technical | Full-time Apply by: June 8, 2022 Apply with Linkedin Apply

Department of Professional & Financial Regulation – Office of Securities

Opening Date: May 18, 2022

Closing Date: June 8, 2022

Job Class Code: 0888

Grade: 25 (Professional/Technical)

Salary: $47,923 – $64,625

Location: Gardiner

Are you suspicious of ads on the internet that promise high returns on risky investments and guarantee against any financial loss?

We are too! These ads are always too good to be true, but that doesn’t stop con artists from trying to get Maine investors to send them their hard-earned money.

Come join the team at the Maine Office of Securities that helps protect Mainers from falling prey to investment scams like this. Watch this shortPSA (https://www.maine.gov/pfr/securities/investor\_ed/Avoid%20COVID%20Scams.mp4) to learn more about the important work we do at the Office of Securities to protect the people of Maine.

As a Senior Securities Specialist (“Investigator”) within the Office of Securities, you will be responsible for conducting investigations into possible violations of state securities laws and other relevant criminal laws.

Drawing from your background in financial regulations, financial services or law, you will:

Conduct Investigations

+ Utilize investigative skills to identify evidence of financial fraud or other related violations of the Maine Uniform Securities Act or other laws.

Analyze Evidence

+ Analyze evidence to identify patterns of spending, additional accounts, entities, or individuals to subpoena and potential co-conspirators or witnesses.

+ Provide expertise relating to complex and difficult financial investigations, including the development and preparation of investigative reports.

+ Prepare summaries, findings and conclusions that will be utilized primarily in administrative hearings and occasionally in state civil or criminal court proceedings and translate findings into terminology and formats which can be understood by both legal and lay personnel.

+ Interpret statutes, rules and orders and conduct necessary legal research to analyze findings and recommend action.

Resolve Cases

+ Draft administrative orders, consent agreements and other legal documents.

+ Assist with negotiating resolutions of matters with attorneys representing targets of investigations.

+ Testify in administrative hearings and in civil and criminal court proceedings.

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

+ Applicable agency and industry laws, rules, regulations, policies and procedures.

+ Investigative procedures and protocols.

+ Proficiency in Excel.

+ Developing effective working relationships with outside agencies.

+ Effective communication with staff, state officials and the public at large.

Minimum qualifications:

A seven-year combination of education and/or experience in financial services work with a financial services regulatory agency, financial service industry, or law firm.

Preference may be given for a Law degree, a Bachelor’s degree in business or other related field, or relevant experience in law enforcement and/or the financial services industry.

Occassional statewide travel is required.

Contact information:

Questions about this position should be directed to Judith Shaw at 207-624-8551 orjudith.m.shaw@maine.gov

Application Instructions:

Interested applicants need to apply online by selecting the “Apply for this opening” button along with uploading a cover letter, current resume, and copies of any transcripts or certifications you wish to have considered while evaluating your application. In order for us to properly determine if you meet the minimum qualifications for any posting, you must be sure your resume includes month and year for any experience listed along with the duties and responsibilities associated with each particular time period. Any experience that was not full-time employment should be identified as such.

If you require a paper application, please download and print one here https://www.maine.gov/bhr/state-jobs/application-process or contact our office at 207-623-6700. Paper applications for this posting should be submitted along with cover letter and resume before the closing date to Security & Employment Service Center, 45 Commerce Drive, Augusta, ME 04330 or faxed to 207-287-2018. Be sure title of the job you are applying for is included. Applications cannot be accepted after the posting closing date.

Benefits of working for the State of Maine:

No matter where you work across Maine state government, you find employees who embody our state motto-“Dirigo” or “I lead”-as they provide essential services to Mainers every day. We believe in supporting our workforce’s health and wellbeing with a valuable total compensation package, including:

+ Work-Life Balance – Rest is essential. Take time for yourself using 13 paid holidays , 12 days of sick leave , and 3+ weeks of vacation leave annually. Vacation leave accrual increases with years of service, and overtime-exempt employees receive personal leave.

+ Health Insurance Coverage – The State of Maine pays 85%-100% of employee-only premiums ($9,893.52-$11,057.52 annual value), depending on salary. Use this chart to find the premium costs for you and your family, including the percentage of dependent coverage paid by the State.

+ Health Insurance Premium Credit – Participation decreases employee-only premiums by 5%. Visit the Office of Employee Health and Wellness for more information about program requirements .

+ Dental Insurance – The State of Maine pays 100% of employee-only dental premiums ($350.40 annual value).

+ Retirement Plan – The State of Maine contributes XXXX% of pay to the Maine Public Employees Retirement System (MainePERS), on behalf of the employee.

+ Gym Membership Reimbursement – Improve overall health with regular exercise and receive up to $40 per month to offset this expense.

+ Health and Dependent Care Flexible Spending Accounts – Set aside money pre-tax to help pay for out-of-pocket health care expenses and/or daycare expenses.

+ Public Service Student Loan Forgiveness – The State of Maine is a qualified employer for this federal program. For more information, visit the Federal Student Aid office .

+ Living Resources Program – Navigate challenging work and life situations with our employee assistance program.

+ Parental leave is one of the most important benefits for any working parent. All employees who are welcoming a child-including fathers and adoptive parents-receive four weeks of fully paid parental leave . Additional, unpaid leave may also be available, under the Family and Medical Leave Act (https://www.maine.gov/bhr/state-employees/rules-policies/policy-practices-manual/Employee-Rights-and-Responsibilities-Federal) .

+ Voluntary Deferred Compensation – Save additional pre-tax funds for retirement in a MaineSaves 457(b) account through payroll deductions.

+ Learn about additional wellness benefits for State employees from the Office of Employee Health and Wellness (https://www.maine.gov/bhr/oeh/) .

Maine State Government is an Equal Opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We provide reasonable accommodations to qualified individuals with disabilities upon request.

Copy Link

Job Posting: JC214009478

Posted On: May 20, 2022

Updated On: Jun 11, 2022