SECURITIES EXAMINER IV (SR-22) - OAHU



Job Details

SECURITIES EXAMINER IV (SR-22) - OAHU
Employer

State of Hawai'i

Salary

$4,316.00 - $6,391.00 Monthly

Location
State of Hawaii Executive Branch
Job Type

Various

Job Number

218129

Department ND

Commerce & Consumer Affairs

Opening Date

03/31/2018

Closing Date

Continuous

Bargaining Unit

13

Recruitment Information

Recruitment Number 218129 - Downtown, Oahu Employment Only.  $4,316 to $5,053 per month (SR-22, Step C to G)

Note: Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.

A continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the Civil Service Hawaii State Government Jobs page of our website.
 

Duties Summary

Independently reviews and examines applications and filings for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors. Conducts audits and examinations of securities broker-dealers and investment advisers. Makes final recommendations on applications which ae complete and do not have any legal issues. On more complex applications/examinations such as those presenting questions requiring legal interpretation, questionable financial status of the applicant, etc., does the preliminary staff work, makes preliminary evaluations and recommendations and assists the supervisor in discussion with the applicants and their legal representative regarding nonconformance to statutory and regulatory requirements. 

Minimum Qualification Requirements

To qualify, you must meet all of the following requirements:

Basic Education Requirement: A bachelor's degree from an accredited four-year college or university, including six semester credits in accounting and/or auditing.

Specialized Experience: Two and one-half (2 ½) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.

Examples of Qualifying Experience may include, but are not limited to:
1) Professional experience in reviewing, analyzing, or preparing securities offerings;
2) Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities;
3) Professional experience in the investigation and/or prosecution of securities violations.

Prerequisite Knowledge and Abilities Required: In addition to the knowledge required at the III level, comprehensive knowledge of laws, rules and regulations covering the registration of securities offerings, and registration of business and operational requirements of securities broker-dealers; investment advisers and their representatives; characteristics of various types of securities and their related risk factors; and sound investment principles.
*The knowledge requirement for the Securities Examiner III can be viewed by clicking on the link below.

Applicants must possess the ability to read, understand and apply complex written material including federal laws, regulations and State of Hawaii rules; review and evaluate securities requiring the application of State of Hawaii securities laws and rules; review business records and financial documents to determine compliance with legal requirements; communicate effectively both orally and in writing; and deal effectively with a wide range of individuals and groups.
 
Desired Qualifications: A master's degree in business administration, accounting, banking or finance.

Substitutions Allowed: Relevant substitutions as described in the Minimum Qualification Requirements will apply.

The information provided above represents a summary of the complete Minimum Qualification Requirements (MQRs). To view the MQRs in their entirety, please CLICK HERE.


02147:031618:13:AC
 

Other Information

PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM
The PSLF Program is a federal program that is intended to encourage individuals to work in public service by forgiving the balance of their federal student loans.  To qualify, the individual must have made 120 qualifying payments while employed by a qualifying employer.  For more information, please click:  https://studentaid.ed.gov/sa/repay-loans/forgiveness-cancellation/public-service

ELECTRONIC NOTIFICATION TO APPLICANTS
The Department of Human Resources Development will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications as part of our ongoing efforts to increase operational efficiency, promote the conservation of green resources, and minimize delays and costs.

Please ensure that the email address and contact information you provide is current, secure, and readily accessible to you. We will not be responsible in any way if you do not receive our emails or fail to check your email-box in a timely manner.

TESTING INFORMATION
The examination for this recruitment will be conducted on an unassembled basis where the examination score is based on an evaluation and rating of your education and experience. It is therefore important that your employment application provide a clear and detailed description of the duties and responsibilities of each position you held.

In-person interviews and/or further testing in Hawaii may be required at the discretion of the hiring agency. If in-person interviews and/or further testing are required, applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person and at their own expense in this phase of the selection process.

Applicants are encouraged to submit their applications as soon as possible. In addition to employment availability and score, the referral of qualified applicants may be based upon other factors including date of receipt of the application.

The State of Hawai'i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities.  If you require reasonable accommodations in completing an application, any pre-employment testing, or otherwise participating in the selection process, please call 808-587-0936 for assistance.

CLICK HERE for further information about Equal Employment Opportunity, the Merit Civil Service System, Citizenship and other requirements, Reasonable Accommodation, Veterans Preference, Examination Requirements, and the State Recruiting Office's Levels of Review.

YOUR JOB BENEFITS WITH THE STATE OF HAWAI'I

Click on this link:  https://hidhrd.adobeconnect.com/p2v443ex9w0r/ for information regarding the wonderful benefits the State of Hawai'i has to offer employees.

The State of Hawaii offers its employees who are members of the civil service a range of benefits. Some benefits are offered as a result of collective bargaining agreements and changes may occur.
A summary of these benefits, which is based on full-time employment, is listed below.

Note: Benefits for NON-CIVIL SERVICE appointments will be provided by the hiring department at the time of interview.


With Civil Service modernization, effective July 1, 2002, employees appointed to temporary positions may also gain membership in the civil service upon satisfactory completion of an initial probation period of at least six months. As a temporary member of the civil service, you will be eligible to apply for promotion and transfer opportunities to permanent as well as other temporary positions. You may also enjoy other rights and benefits afforded to members of the civil service, with the exception of return rights and placement rights associated with a reduction-in-force of a permanent member of the civil service.


Paid Holidays

You may be eligible for 13 paid holidays each year; 14 holidays during an election year.


Paid Vacation

You may earn vacation leave at a rate that other employers find tough to match – 21 days each full year from the FIRST year of employment. This compares to an average of 10 days offered by private companies. You may accumulate up to a total of 90 days (720 hours) of vacation.


Paid Sick Leave

You may earn sick leave at the same rate as vacation – 21 days per year from the FIRST year, and there is no limit on the amount you can accumulate. Expectant mothers may also use sick leave for pre-natal or post-natal check-ups or any illness related to pregnancy. Plus, unused accumulated sick leave may eventually be used to increase your retirement benefits in certain situations.


Other Leaves

Reasonable time off with pay may be provided for jury or witness duty, a death in the family, some military duty, and donation to the Blood Bank. Leave sharing donations may be granted to eligible employees who have serious personal illnesses or injuries or need to care for a seriously ill or injured family member. Various leaves without pay may also be granted with full re-employment rights.


Health Insurance

The State pays a part of the premiums for each employee's enrollment in a State sponsored Medical, Drug, Vision, and Dental Plan. For more information, visit the Employer Union Trust Fund website www.eutf.hawaii.gov for coverage and options.


Group Life Insurance

The State provides a free life insurance policy for employees.


Retirement Plan

The State contributes to a retirement plan for eligible employees. Generally, employees under the Hybrid Plan with 10 years of credited service and who have reached 65 years of age or have 30 years of credited service and have reached 60 years of age may retire and receive benefits. To find out more about the options you have, go to http://ers.ehawaii.gov.


Premium Conversion Plan

Participating employees may increase their take-home pay by having the State deduct the cost of health care premiums before payroll taxes are withheld.


Flexible Spending Accounts

Eligible employees can reduce their federal and state income taxes and social security taxes through a tax-savings benefit program called Island Flex. This program allows employees to set aside money from their paychecks to pay for out-of-pocket health care expenses and eligible dependent care expenses on a BEFORE-TAX basis.


Transportation Benefits

Participating employees may increase their take-home pay by having the State deduct qualified transportation expenses (i.e. eligible parking fees, monthly bus passes for TheBus, fare coupons for The Handi-Van, Vanpool Hawaii participation fee, etc.) through pre-tax payroll deductions.


Deferred Compensation

The State offers employees a voluntary pre-tax retirement savings plan designed to give employees a tax break today and an opportunity to build a retirement nest egg through voluntary payroll deductions. Several types of investment options are available.


Temporary Disability Insurance

Qualified employees may be eligible to receive benefits for a disability caused by a non-work related injury or illness under this program.


Social Security

As an employer, the State also contributes to an employee's social security account.


Promotions & Transfers

For employees with membership in the civil service, the State offers promotion and transfer opportunities throughout the State Executive Branch.


Training & Continuing Education

The State supports developmental activities related to an employee's work. In many departments there are numerous in-service training opportunities available. Sabbatical leaves with pay are available for qualified employees.


Travel Expenses

The State may pay for certain business related travel expenses including mileage reimbursement for use of a personal car during work, airfare, meals and lodging expenses for trips to neighbor islands or out of state.


Incentive & Service Awards

The State has a program that recognizes employees for their years of service and provides cash awards for their superior accomplishments and other contributions that improve State operations.


Union & Collective Bargaining

Employees have the right to join the union for collective bargaining with the State and employee representation. Some employee unions provide discounts, insurance and other opportunities. Employees may also decide not to join a union, however, employees are required to pay union service fees unless the employee's job is excluded from collective bargaining.


The above information is solely intended as a summary of the benefits available to State of Hawaii employees and is subject to change. Whether or not you are entitled to a particular benefit will depend on your specific appointment and employment status (included, excluded, exempt, non-exempt). Please refer to the appropriate collective bargaining agreement or executive order and all applicable laws, rules, policies, or plan documents for further details. Nothing herein shall be deemed as creating an employment contract, promise of employment, promise of continued employment, or obligation of any kind on the part of the State of Hawaii.



CLICK HERE for more information on the State of Hawaii's Benefits At-A-Glance.



The State of Hawaii is an Equal Opportunity Employer


 

Revised 01/13

01
APPLICANT'S ACKNOWLEDGMENT - REQUIRED SUPPLEMENTAL QUESTIONS
The responses you provide to these Supplemental Questions will be used in combination with your application to determine whether you meet the qualification requirements and/or your final score. Failure to provide detailed and complete information may result in your application being rejected or receiving a lower score. Please do not submit a resume in place of completing the Supplemental Questions.

You must submit verification (e.g., copies of official transcripts or diploma as directed below) in order to receive credit for education. In general, proof of education downloaded from and/or submitted through the internet will not be accepted. Education obtained outside the United States must be comparable to education earned at an accredited school in the United States. We also reserve the right to request further information about your academic program, evidence of comparability, or an original transcript.

To receive credit for substitute, temporary assignment, or volunteer experience, applicants must submit an official letter of verification. The letter should include the job title, employment dates, number of hours worked, a description of the duties performed, and a contact name and phone number.

Any information you submit may be verified. Supporting documents must be either electronically attached to your application or submitted to our office as soon as possible. Our mailing address is: State of Hawaii Department of Human Resources Development, 235 South Beretania Street--11th Floor, Honolulu, Hawaii 96813. Documents should be identified by job title and recruitment number.
  • I acknowledge that I have read, understand and agree to all of the above.
02
APPLICANT'S ACKNOWLEDGMENT (Continued)
Applicants must meet all the requirements for the position they are seeking as of the date of the application, unless otherwise specified. In general, concurrent experiences and/or education will not be double credited unless otherwise specified. Your possession of the required amount of experience will not in and of itself be accepted as proof of qualification for the position. The overall paid or unpaid experience must be of such scope and responsibility as to conclusively demonstrate that you have the ability to perform the duties of the position. Our calculation of experience will be based upon a full-time, 40-hour work week. Part-time experience will be pro rated. Example: Twelve months of experience at 20 hours/week will be pro rated to six months of experience. Also, hours worked in excess of 40 hours/week will not be extra credited. Example: Twelve months of experience at 60 hours/week will be credited as one year of experience, not one and a half years.
  • I acknowledge that I have read, understand, and agree to all of the above.
03
APPLICANT'S ACKNOWLEDGMENT - MINIMUM QUALIFICATION REQUIREMENTS (Complete information and details)
The information provided in the job announcement represents a summary of the complete Minimum Qualification Requirements. A live link to the complete Minimum Qualification Requirements was provided to me in the job announcement.
  • I acknowledge that I have accessed and read the complete Minimum Qualification Requirements via the live link provided in the job announcement.
04
BASIC EDUCATION REQUIREMENT
Do you possess a bachelor's and/or higher degree, and have you completed the required coursework in accounting and/or auditing subjects from an accredited college or university as stated in the Minimum Qualification Requirements? If yes, you must submit a copy of official transcript(s) as verification in order to receive credit.
  • Yes
  • No
05
SPECIALIZED EXPERIENCE REQUIREMENT Do you possess two and half (2 ½) years of Specialized Experience as specified in the Minimum Qualification Requirements?
If no, so indicate. If yes, identify each experience you would like us to consider and provide the information requested in A-F below. All employers listed below should also be listed in your application. Please provide the requested information SEPARATELY for each change in employer and/or position. The information for each employer should include:
A. Employer's name, employment dates (Month/year to Month/year), and your official job title; and number of hours worked per week
B. Description of employer (government agency, private firm, self-employment, other agency, consultant, etc.). What kinds of services did it provide? To whom (primary clientele)?;
C.Describe in DETAIL your professional experience and knowledge, if any, in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrates your knowledge of the following (1-5). Please avoid limiting your descriptions to vague language or brief phrases lacking details. Instead, be very descriptive and complete, with clear explanations.
1). Laws, rules and regulations covering the sale of securities.
2). Knowledge, experience and understanding of business operations and practices of broker-dealers, investment advisers and their representatives.
3). Experience interpreting, explaining, and applying rules and regulations covering the sale of securities. ?
4). Experience interpreting, explaining, and applying policies, procedures, and precedents covering the sale of securities.
5). Understanding of accounting and financial reports. Have you conducted audits of a business entity's financial recordkeeping and business practices? If so, describe what criteria you used to audit and what was the outcome or recommendation of the audit?
D. How did you gain the knowledge and skills required to perform the core job functions described above?
E. What degree of supervision did you receive in performing these duties? What kinds of decisions were you authorized and/or not authorized to make?
F. What was the official job title of your supervisor? Describe in detail how your duties and level of authority differed from your supervisor?
06
PARTIAL SUBSTITUTION OF EDUCATION FOR SPECIALIZED EXPERIENCE
Please indicate if you are using the substitution to meet the specialized experience requirement.

In order to receive credit for your academic training, you MUST SUBMIT a legible copy of your OFFICIAL TRANSCRIPTS by attaching it to your online application.
  • I am not using substitution.
  • I possess a Bachelor's degree in business administration from an accredited college or university with specialization in business law, finance, accounting, or other related field.
  • I possess a Master's degree in business administration from an accredited college or university with specialization in business law, finance, accounting, or other related field.
  • I have completed coursework required for a law degree from a school of law accredited by a nationally recognized accrediting body.
  • I possess a valid Hawaii Certified Public Accountant (CPA) certificate.
07
DESIRED QUALIFICATION
Do you possess a master's degree in business administration, accounting, banking, or finance from an accredited college or university? If yes, you must submit a copy of official transcript(s) as verification in order to receive credit.
  • Yes
  • No
08
STATE OF HAWAII CPA CERTIFICATION
Possession of a valid Hawaii CPA license is NOT a requirement but may be given extra consideration in our review. Do you possess a valid Hawaii CPA license? If yes, and you wish to have it considered in our review, please submit a copy as verification. The copy should clearly show the expiration date.
  • Yes
  • No
09
ADDITIONAL INFORMATION
Do you have any other information related to this position that you would like us to consider? If no, so state. If yes, provide the information in the space below or if you need additional space, submit a hard copy paper addendum to our office identified by the job title and recruitment number.

* Required Question

Employer
State of Hawai'i

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