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People Making
A Difference!

Idaho
State Government

Click to Apply Online!
Click Here!

Division of Human Resources

304 N. 8th St., P.O. Box 83720
Boise , ID
83720-0066

WEBSITE:
www.dhr.idaho.gov/

If you have questions,
please contact us at:

(208) 334-2263

 

Toll Free:
1-800-554-5627

EMAIL:
idhr@dhr.idaho.gov

Click to Apply Online!
Click Here!

Securities Technician

Department of Finance

Open for Recruitment: January 11, 2018 - January 20, 2018
Announcement # 04444029190
Salary Range: $15.00-$17.00/hr. -Plus Competitive Benefits!

Location(s): Boise

The Idaho Department of Finance

is seeking a

Securities Technician

The Securities Technician position provides administrative support to the Securities Bureau. The position reviews and processes routine Money Transmitters, Broker-Dealer, Investment Advisor, and Cemetery license applications, maintaining licensing records and databases.  The position does research and provides special project assistance to the Bureau as needed.

Applicants must meet the minimum qualifications as described below.  Additionally, the best qualified candidates will possess good interpersonal, communication and customer service skills.  The best candidates will also have good research, critical thinking, and analytical skills, which ideally would include experience reviewing and evaluating financial records for completeness and to identify errors.  Our preference is that applicants will have an interest in learning and/or have some knowledge of financial and/or securities laws, regulations and standards.

Applicants will be required to pass a background investigation after a conditional offer of hire.

Responsibilities include, but are not limited to:

  • Reviews and processes applications and documenting exhibits to license and register broker/dealers, investment advisors and salespersons, assuring registration, examination and bonding requirements are met and comply with securities laws and rules.
  • Makes routine initial decisions regarding the approval of various financial licensing.  Identifies matters of concern and refers to an Examiner for further consideration.
  • Ensures registrations are complete with properly receipted fees.
  • Works with investing public, attorneys, accountants, and securities professionals affiliated with the industry.
  • Maintains licensing databases and records for the Bureau, including overseeing the entry of licensing and registration data into national computer system.
  • Sets up program files for Examiners and maintains examination and investigation files.
  • Analyzes and proofs financial records to assist in fraud investigations.
  • Researches electronic or printed financial records.
  • Logs, uploads and summarizes administrative and civil case info into Xythos, internal databases and national licensing platforms.
  • Screens and directs phone callers and/or provides information.
  • Performs administrative and clerical support duties including: copying and/or mailing projects; composing/creating correspondence, reports and spreadsheets; maintaining calendars and schedules.
  • Gathers statistics, compiles and verifies information and coordinates with management and other staff members for special reports requested by regulatory and industry counterparts.

MINIMUM QUALIFICATIONS:

  • Experience managing manual and/or automated record systems.
  • Experience interpreting, explaining, and applying laws, regulations, and/or policies for specialized programs.
  • Experience researching a variety of sources and compiling and summarizing statistics and information for reports. 
  • Experience entering and retrieving data using a computerized record system.
  • Experience composing and proofreading business correspondence.
  • Experience reviewing documents for accuracy, completeness, and compliance with rules, regulations, policies and/or laws.

The following are not required, but will increase your exam score if you have this knowledge and/or experience:

  • Some knowledge of state and industry standards regarding the regulation of securities firms and professionals.
  • Some knowledge of state securities laws and rules.

EXAMINATION:

The exam is a rating of your education and experience.  You must receive a minimum rating of  70  to pass this examination.  Exam results will be available online when the review process is complete.  To preview the examination, click on Preview Exam below. You will not be able to take the exam from this screen.

TO APPLY:

If you wish to take the exam, click the Apply Online button to the left and follow the instructions provided.

When updating your online application information, please select:

  • Idaho Department of Finance under "Agencies"
  • Full-time employment under "Job Type/Shift"
  • Boise as the city in which you will work under "Cities"

 

Preview Exam

OVERTIME NOTICE:
At the discretion of the appointing authority, compensatory time off may be provided in lieu of overtime cash compensation.

Hiring is done without regard to race, color, religion, national origin, sex, age or disability. In addition, preference may be given to veterans who qualify under state and federal laws and regulations. If you need special accommodations to satisfy testing requirements, please contact the Division of Human Resources.