Home

Comprehensive

Non-Depository and Securities Compliance Examiner 1

Non-Depository and Securities Compliance Examiner 1-March 2024

Pennsylvania

Mar 30, 2026

About Non-Depository and Securities Compliance Examiner 1

　　Non-Depository and Securities Compliance Examiner 1

　　Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4348653)

　　Apply

　　Non-Depository and Securities Compliance Examiner 1

　　Salary

　　$49,839.00 - $75,795.00 Annually

　　Location

　　Dauphin County, PA

　　Job Type

　　Civil Service Permanent Full-Time

　　Job Number

　　CS-2024-74054-03206

　　Department

　　Department of Banking & Securities

　　Division

　　BG Bur Scy Cmplnc Exmns Estrn

　　Opening Date

　　01/22/2024

　　Closing Date

　　2/4/2024 11:59 PM Eastern

　　Job Code

　　03206

　　Position Number

　　Multiple positions may be filled from this posting.

　　Union

　　AFSCME

　　Bargaining Unit

　　Pay Group

　　ST06

　　Bureau / Division Code

　　00052100

　　Bureau / Division

　　Bureau of Securities Compliance and Exams Eastern Regional Division

　　Worksite Address

　　17 N 2nd Street

　　Worksite Address

　　Suite 1300

　　City

　　Harrisburg, Pennsylvania

　　Zip Code

　　17101

　　Contact Name

　　Felicia Newbury

　　Contact Phone

　　717.787.0626

　　Contact Email

　　[email protected]

　　Description

　　Benefits

　　Questions

　　THE POSITION

　　Are you a dedicated professional ready to move forward in your career? This is a beginning level position that is responsible for examining and auditing broker-dealer firms and investment advisers registered or required to be registered in Pennsylvania. You will have the opportunity to determine compliance with federal, state and other regulatory requirements and insure investor protection. As part of the examination process, this position may conduct investigations of entities and individuals who are offering or selling securities in Pennsylvania. Join our team in this exciting career opportunity.

　　DESCRIPTION OF WORK

　　In this role, you will independently, or with senior examiners, plan and conduct examinations and/or investigations. This position confers with supervisor and/or assigned staff to develop examination schedules, interview registrants and analyze examination and investigation issues. The position will also prepare detailed examination and investigative memos, reports and other related items.

　　Additional details regarding the duties of this position may be found in the position description. (https://careers.employment.pa.gov/pd/PD_NEOGOV.asp?p=50579926)

　　Work Schedule and Additional Information:

　　Full-time employment.

　　Work hours are 8:30 am to 5:00 pm, Monday - Friday, with 60-minute lunch.

　　Telework: You may have the opportunity to work from home (telework). In order to telework, you must have a securely configured high-speed internet connection. If you are unable to telework, you will have the option to report to the headquarters office in Harrisburg. These positions may eventually be home headquartered. During the training period, employees will be part time or full time telework at management discretion.

　　Salary: Starting salary is non-negotiable.

　　You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

　　REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY

　　QUALIFICATIONS

　　Minimum Experience and Training Requirements:

　　A bachelor’s degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field;or

　　An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.

　　Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree/credit.

　　Other Requirements:

　　You must meet the PA residency requirement (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) . For more information on ways to meet PA residency requirements, follow the link (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) and click on Residency.

　　You must be able to perform essential job functions.

　　How to Apply:

　　Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education).

　　This posting requires submission of a copy of your college transcript(s). Unofficial transcripts are acceptable. You may upload your document as an attachment during the application process. You must still complete the application and answer the supplemental questions. All documents MUST be uploaded prior to the submission of your application.

　　Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted.

　　Failure to comply with the above application requirements may eliminate you from consideration for this position.

　　Veterans:

　　Pennsylvania law (51 Pa. C.S. §7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to www.employment.pa.gov/Additional%20Info/Pages/default.aspx and click the Veterans’ Preference tab or contact us at [email protected] .

　　Telecommunications Relay Service (TRS):

　　711 (hearing and speech disabilities or other individuals).

　　If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

　　The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

　　EXAMINATION INFORMATION

　　Completing the application, including all supplemental questions, serves as your exam for this position. No additional exam is required at a test center (also referred to as a written exam).

　　Your score is based on the detailed information you provide on your application and in response to the supplemental questions.

　　Your score is valid for this specific posting only.

　　You must provide complete and accurate information or:

　　your score may be lower than deserved.

　　you may be disqualified.

　　You may only apply/testoncefor this posting.

　　Your results will be provided via email.

　　Learn more about our Total Rewards by watching this shortvideo (https://www.youtube.com/embed/HtcSRnndflc?rel=0) !

　　Health & Wellness

　　We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.*

　　Compensation & Financial Planning

　　We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options.

　　Work/Life Balance

　　We know there’s more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, six weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.*

　　Values and Culture

　　We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving.

　　Employee Perks

　　Sometimes, it is the little “extras” that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships.

　　For more information on all of these Total Rewards benefits, please visitwww.employment.pa.gov and click on the benefits box.

　　*Eligibility rules apply.

　　Have you completed nine or more college credits in accounting, finance, economics, or a closely related field?

　　If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add transcript(s) to the application after it has been submitted.

　　If you answer "yes" to this question based on education acquired outside of the United States, you must also upload a copy of your foreign credential evaluation. For more information on foreign education credentials, please visithttps://www.employment.pa.gov/Additional%20Info/Pages/default.aspx#q3and click on Other Information.

　　Yes

　　Do you possess a conferred bachelor's degree or higher, or are you within three months of conferring a bachelor's degree or higher?

　　Yes

　　If you do not have a conferred bachelor's degree or higher, on what date do you expect to receive your degree? Type N/A in the text box if this does not apply.

　　How much college coursework have you completed?

　　If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

　　If your education was acquired outside of the United States, you must also upload a copy of your foreign credential evaluation. For more information on foreign education credentials, please visithttps://www.employment.pa.gov/Additional%20Info/Pages/default.aspx#q3and click on Other Information.

　　120 credits or more

　　90 but less than 120 credits

　　60 but less than 90 credits

　　30 but less than 60 credits

　　Less than 30 credits

　　None

　　Are you currently licensed as a Certified Public Accountant (CPA)?

　　Yes

　　If you answered yes to the above question, please provide your CPA license number. If you answered no to the above question, type N/A in the text box below.

　　You must complete the supplemental questions below. These supplemental questions are the exam and will be scored. They are designed to give you the opportunity to relate your experience and training background to the major activities (Work Behaviors) performed in this position. Failure to provide complete and accurate information may delay the processing of your application, or result in a lower-than-deserved score or disqualification. Youmustcomplete the applicationandanswer the supplemental questions. Resumes, cover letters, and similar documents will not be reviewed for the purposes of determining your eligibility for the position or to determine your score.

　　All information you provide on your application and supplemental questions is subject to verification. Any misrepresentation, falsification or omission of material facts is subject to penalty. If requested, you must provide documentation, including names, addresses, and telephone numbers of individuals who can verify the validity of the information you provide in the application and supplemental questions.

　　Read each work behavior carefully. Determine and select which "Level of Performance" most closely represents your highest level of experience/training. List the employer(s)/training source(s) from your Work or Education sections of the application where you gained this experience/training.The "Level of Performance" you choose for each work behavior must be clearly supported within the description of the experience and training information entered in your application or your score may be lowered.In order to receive credit for experience, you must have worked in a job for at least six months in which the experience claimed was a major function.

　　If you have read and understand these instructions, please click on the "Yes" button and proceed to the exam questions.

　　If you have general questions regarding the application and hiring process, please refer to ourFAQ page (https://www.employment.pa.gov/Additional%20Info/Pages/default.aspx) .

　　Yes

　　WORK BEHAVIOR 1 – ANALYSIS AND QUALITY ASSURANCE

　　Reviews and analyzes financial institution documentation for deficiencies, irregular or illegal activities, and regulatory compliance. Reviews examination reports for technical conformance with regulations. Reports errors detected in documentation and recommends potential resolution.

　　Levels of Performance

　　Select the Level of Performance that best describes your claim.

　　A. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I was responsible for reporting any concerns and recommending and/or implementing potential resolution.

　　B. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I reported the concerns; however, another party was responsible for recommending potential resolution.

　　C. I do not have the experience listed above but I have successfully completed college-level coursework related to financial analysis, data analysis, qualitative business analysis, financial auditing, financial research, financial fraud investigations, or business law.

　　D. I have NO experience or coursework related to this work behavior.

　　In the text box below, please describe your experience as it relates to the level of performance you claimed in this work behavior. Please be sure your response addresses the items listed below which relate to your claim. If you indicated you have no work experience related to this work behavior, type N/A in the box below.

　　The name of the employer where you gained this experience.

　　The actual duties you performed related to reviewing and analyzing financial documentation.

　　Your level of responsibility.

　　If you have selected the level of performance pertaining to college coursework, please provide your responses to the items listed below. If you indicated you have no education/training related to this work behavior, type N/A in the text box below.

　　College/University

　　Course Title

　　Credits/Clock Hours

　　WORK BEHAVIOR 2 – FINANCIAL ANALYSIS

　　Applies relevant financial analysis theories and practices for review of earnings, capital, balance sheet composition, and financial performance ratio indicators. Uses financial records to evaluate financial solvency. Analyzes balance sheet, income statements, comparative analyses, earning trends, internal and external audits and other written reports.

　　Levels of Performance

　　Select the Level of Performance that best describes your claim.

　　A. I have experience applying relevant accounting theories and practices to complete various financial analysis techniques. I was RESPONSIBLE for the evaluation and management of financial performance.

　　B. I have experience reviewing and recommending relevant financial analysis techniques, but my responsibilities were limited to providing information to my supervisor.

　　C. I do not have the experience listed above but I have successfully completed college-level coursework related to finance or accounting.

　　D. I have NO experience or coursework related to this work behavior.

　　The name of the employer where you gained this experience.

　　The actual duties you performed related to completing various financial analyses or accounting transactions.

　　Your level of responsibility.

　　College/University

　　Course Title

　　Credits/Clock Hours

　　WORK BEHAVIOR 3 – WRITTEN COMMUNICATION

　　Prepares written, technical, or narrative documents related to the inspections of records and documents for adherence to policies, rules, and regulations. Authors narrative and analytical reports that convey the findings of examinations that include recommendations for corrective action. Prepares correspondence to communicate issues and corrective action recommendations to management personnel. Communicates findings and other concerns with the supervisor.

　　Levels of Performance

　　Select the Level of Performance that best describes your claim.

　　A. I have experience preparing written, technical, narrative, or analytical documents that convey findings. I was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.

　　B. I have experience preparing written, technical, narrative, or analytical documents that convey findings. Another party was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.

　　C. I do not have the experience listed above but I have successfully completed college-level coursework related to business or technical writing, public speaking, or communications.

　　D. I have NO experience or coursework related to this work behavior.

　　The name of the employer where you gained this experience.

　　The actual duties you performed related to preparing written, technical, narrative, or analytical documents.

　　Your level of responsibility.

　　College/University

　　Course Title

　　Credits/Clock Hours

　　Required Question

　　Agency

　　Commonwealth of Pennsylvania

　　Address

　　613 North Street

　　Harrisburg, Pennsylvania, 17120

　　Website

　　http://www.employment.pa.gov

Previous page： Maintenance Technician - North Edmonton Next page： (USA) Operations Manager - Floor

Comments

Welcome to zdrecruit comments! Please keep conversations courteous and on-topic. To fosterproductive and respectful conversations, you may see comments from our Community Managers.