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Form of workIntroduction The Attorney General is the chief legal officer of the State of Maryland. The Office of the Attorney General (OAG) has the general charge, supervision, and direction of the legal business of the State, acting as legal advisors and representatives of the major agencies, various boards, commissions, officials and institutions of State Government. As Maryland's 47th Attorney General, Anthony G.
Brown, leads the Office with a key focus on equity, justice, and fairness. GRADE 16 LOCATION OF POSITION Office of the Attorney General 200 St. Paul Place Baltimore, MD 21202 Main Purpose of Job The Administrator I will function as the Examiner in the Office of the Attorney General Securities Division.
The Examiner will work primarily in the Investment Adviser/Broker-Dealer Unit of the Securities Division, although they may be required to work with other Units within the Division. POSITION DUTIES Job duties include: Conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants' financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and broker-dealers and their agents; drafting correspondence to applicants outlining deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; responding to inquiries from applicants, registrants, their counsel and the public, including providing application status reports; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants, registrants, and filings; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act. Other duties include: consulting with Assistant Attorneys General (AAG) in the Division on matters of policy and legal interpretation and assisting the AAG with disciplinary and enforcement proceedings; supervising secretary and registration assistant in conjunction with other examiners and Assistant Attorneys General; being available to perform examiner functions in different units as the need arises.
MINIMUM QUALIFICATIONS Education: Graduation from an accredited high school or possession of a high school equivalency certificate. Experience: Four years of administrative staff or professional work. Notes: 1.
Candidates may substitute 30 college credit hours from an accredited college or university for each year up to four years of the required experience. 2. Candidates may substitute the possession of a Bachelor's degree from an accredited college or university for the required experience.
3. Candidates may substitute the possession of a Master's degree from an accredited college or university for the required experience. 4.
Candidates may substitute U.S. Armed Forces military service experience as a commissioned officer involving staff work related to the administration of rules, regulations, policy, procedures and processes, or overseeing or coordinating unit operations or functioning as a staff assistant to a higher ranking commissioned officer on a year-for- year basis for the required experience. DESIRED OR PREFERRED QUALIFICATIONS The ideal candidate will have: 1.
Bachelor's degree from an accredited college or university. 2. Three years of financial services work experience.
3. Experience working with MS Word, Access and Excel programs. 4.
Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement. 5. Experience working with and/or reviewing the books and records of investment advisers, broker-dealers or other financial professionals.
LICENSES, REGISTRATIONS AND CERTIFICATIONS Employees in this classification may be assigned duties which require the operation of a motor vehicle. Employees assigned such duties will be required to possess a motor vehicle operator's license valid in the State of Maryland. SELECTION PROCESS Please make sure that you provide sufficient and complete information on your application to show that you meet the qualifications for this recruitment.
All information concerning your qualifications and work experience must be completed on application by the closing date. Incomplete applications will not be accepted. We will not consider information submitted after this date.
Successful candidates will be placed on the eligible (employment) list for at least one year. EXAMINATION PROCESS The assessment may consist of a rating of your education, training, and experience related to the requirements of the position. It is important that you provide complete and accurate information on your application.
Please report all experience and education that is related to this position. BENEFITS STATE OF MARYLAND BENEFITS The successful candidate will be eligible for subsidized health benefits (medical, prescription, dental and vision coverage) and life insurance; leave, including annual (vacation), personal, sick, and paid parental leave; and will be eligible for participation in a contributory defined benefit pension plan in which they are vested after ten years. State employees are eligible to participate in two supplemental retirement plans: the 457 Deferred Compensation Plan and the 40l (k) Savings and Investment Plan.
The State also offers a free mass transit benefit for local bus and express bus services. FURTHER INSTRUCTIONS Online applications are strongly preferred. If the online application process is not available, please send your paper application to: Yolanda Colkley, Fair Practices Officer 200 St.
Paul Place, Baltimore, MD 21202 Or, fax to 410-576-6447. If you have specific questions about recruitment, please call 410-576-6440 or email jobs@oag.state.md.us. TTY Users: call via Maryland Relay The Office of the Attorney General is an equal opportunity employer that encourages all interested persons to apply regardless of race, color, religion or belief, ancestry, national origin, age, marital status, sexual orientation, gender identity and/or expression, disability, pregnancy, family or parental status, veteran status, genetic information, or any protected category prohibited by local, state, or federal laws.
We thank our Veterans for their service to our country.
