Senior Examiner

Recruitment #191008-UNCD-108


Application Instructions

Interested persons should submit their resume to the:

Oklahoma Department of Securities
204 N. Robinson Suite 400
Oklahoma City, OK  73102

Or by email to: by close of business on October 22, 2019.


The Oklahoma Department of Securities is seeking a Senior Examiner.

Job Description:
The Examiner will work primarily in the Oklahoma Department of Securities Examination Division.  The Senior Examiner will perform on-site examinations of registered broker-dealer (BD) and investment adviser (IA) firms to ensure compliance with the provisions of the Oklahoma Uniform Securities Act of 2004 and the Rules of the Oklahoma Securities Commission and the Administrator of the Department of Securities. 

The duties will include reviewing and analyzing firm financial and non-financial books and records; drafting of, and follow-up to, correspondence outlining deficiencies found during on-site examinations; reviewing initial and renewal registration applications for firms and individuals; drafting correspondence outlining filing deficiencies and requesting additional information; providing status reports; responding to inquiries from IAs/BDs, their counsel and the public; and using the Department’s computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD).

The position requires the Senior Examiner to: analyze financial records and data obtained though the examination process; review filings made by broker-dealers/investment advisers for completeness and accuracy; investigate client complaints filed against registered broker-dealers/investment advisers; and related work as assigned by the Director of Examinations and Licensing.

The Senior Examiner will be expected to work independently and make sound recommendations to his or her supervisors. 

Minimum Qualifications
A Bachelor’s degree in business, accounting, finance, economics or a combination thereof from an accredited college or university, or four years of experience working for a registered broker-dealer or investment adviser in the compliance area or with a securities regulator. Strong interpersonal and writing skills required.  Must have reliable transportation as some travel will be required.


Veteran's Preference Points apply only for initial appointment in the Classified Service.