SECURITIES COMPLIANCE SUPERVISOR

Recruitment Information Recruitment Number 23-0653 The current vacancy is with the Department of Commerce & Consumer Affairs, Business Registration Division.
Salary: $6,177 to $7,517 per month (SR-26, Step D to I) Note: Hiring rates will be based on availability of funds, the applicant's qualifications, and other relevant factors.
This continuous recruitment may be closed at any time.
The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.
Duties Summary The Securities Compliance Supervisor is responsible for planning, organizing, directing and supervising the activities of the Securities Compliance Branch; serves as technical adviser to the Commissioner of Securities on matters relating to licensing and registration of securities offerings and securities broker-dealers, et al.
, plans and develops operating policies and procedures; provides continuing technical direction over all activities of the securities compliance program; reviews and evaluates activities, operations and staff performance; and performs other related duties as assigned.
This position establishes and maintains effective working relationships with industry representatives, legal counsel, and representatives of other State and federal agencies to ensure compliance with all State and federal licensing, financial and regulatory requirements; and receives general guidance and direction from the Commissioner of Securities and works in accordance with pertinent State laws and departmental rules, policies and procedures.
Minimum Qualification Requirements To qualify, you must meet all of the following requirements: Prerequisite Knowledge and Abilities Required: Knowledge of: Principles and practices of supervision.
Ability to: Plan, organize, direct and supervise the activities of the Securities Compliance Branch through subordinate Supervising Securities Examiners; supervise subordinate professional and clerical staff and recommend various personnel actions; evaluate program operations, develop operating policies and procedures, analyze staffing needs and other requirements, and prepare budget requests; review complaints and refer possible violations for enforcement action; and serve as expert witness in court proceedings and administrative hearings.
Note: Refer to the Minimum Qualification Requirements for a full and complete description of the required Prerequisite Knowledge and Abilities by clicking on the link below.
Please reference the Prerequisite Knowledge and Abilities for the Securities Examiner III and IV, and Supervising Securities Examiner.
Basic Education Requirement: A bachelor's degree from an accredited four-year college or university with six (6) semester credits in accounting and/or auditing.
Specialized Experience: Three and one-half (3-1/2) 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.
Supervisory Experience: Supervisory work experience which included: 1) planning, organizing, scheduling, and directing the work of others; 2) assigning and reviewing their work; 3) advising them on difficult work problems; 4) training and developing subordinates; and 5) evaluating their work performance.
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 02147:031618:13:MA Other Information 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.
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 (HRD) 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.
In addition, please be aware that you may no longer receive notification about applications submitted if you choose to disable the Job Application Emails feature in your Account Settings.
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 is a requirement, 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 required 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 application.