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Recruitment #22-002586-0132




Office of the Attorney General, Securities Division
200 Saint Paul Place  Baltimore, Maryland 21202

Main Purpose of Job

The contractual Administrator I will perform as an Examiner and 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.


The 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, respectively. Other duties include consulting with Assistant Attorneys General in the Division on matters of policy and legal interpretation and assisting the Assistant Attorneys General 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. 

Working throughout the State of Maryland and outside of typical workday may be required. A valid Maryland Driver's license is required.


Education: Bachelor's degree from an accredited college or university.  

Experience: Four years of experience in administrative staff or professional work. 


1. Additional experience in professional work may be substituted on a year-for-year basis for the required education. 

2. Additional graduate level education at an accredited college or university may be substituted at the rate of 30 semester credit hours on a year-for-year basis for the required general experience. 

3. 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 education and experience.


1. Bachelor's degree preferred.
2. Experience working with investment advisers or broker-dealers or other financial professionals.
3. Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement.
4. Experience with Access and Excel and word processing programs.


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.


Please make sure that you provide sufficient information on your application to show that you meet the qualifications for this recruitment. All information concerning your qualifications must be submitted by the closing date. We will not consider information submitted after this date.


Contractual employees who work for an agency covered under the State Employee and Retiree Health and Welfare Benefits Program, have a current employment contract and work 30 or more hours a week (or on average 130 hours per month) may be eligible for subsidized health benefits coverage for themselves and their dependents. As a contractual employee, you will be responsible for paying 25% of the premiums for your medical and prescription coverage, including any eligible dependents you have enrolled. The State of Maryland will subsidize the remaining 75% of the cost for these benefits. You can also elect to enroll in dental coverage, accidental death and dismemberment insurance, and life insurance, but will be responsible to pay the full premium for these benefits.

Leave may be granted to a contractual employee who has worked 120 days in a 12 month period. This leave accrues at a rate of one hour for every 30 hours worked, not to exceed 40 hours per calendar year.


Online applications are STRONGLY preferred. 

If the online application process is not available, please send your paper application and supplemental questionnaire (if applicable) 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

TTY Users: call via Maryland Relay

We thank our Veterans for their service to our country, and encourage them to apply. As an equal opportunity employer, Maryland is committed to recruiting, retaining and promoting employees who are reflective of the State's diversity.

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