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Job Description:
Don't scroll past this amazing opportunity to work for a great team! The Nebraska Department of Banking and Finance (NDBF) - Bureau of Securities is seeking a motivated, energetic and detail-oriented individual to regulate securities sales including the registration of securities, and investigation of potential violations of the law. As a Securities Analyst II, you have the chance to impact the citizens and securities industry of the great State of Nebraska by protecting consumers through fair and common-sense supervision. NDBF provides an opportunity for you to make a positive difference through our important and meaningful work. For more information about NDBF, please visit our website at ndbf.nebraska.gov.
NDBF has opened this position up for 'under-filling' potential. Applicants may apply for the Securities Analyst I position with the requirement of fulfilling the necessary requirements and qualifications of a Securities Analyst II within one year.
We offer an excellent total compensation package including:
13 paid holidays
Vacation and sick leave equating to 24 days your first year, accruing immediately
Military leave
156% (that's not a typo!) state-matched retirement
Tuition reimbursement
Employee assistance program
79% employer paid health insurance plans
Dental and vision insurance plans
Employer-paid $20,000 life insurance policy
Public Service Loan Forgiveness Program (PLSF) through the Federal government
Wide variety and availability of career advancement as the largest and most diverse employer in the State
Opportunity to be part of meaningful work and make a difference through public service
Training and Development based on your career aspirations
Fun, inviting teammates
A safe and secure environment
At the State, we stand by our core values of treating others with dignity and respect, acting ethically in all situations, and creating an environment where our customer is our top priority. Apply to join our team today!
Job duties
Securities Analyst II: Registration of corporate offerings, real estate investment trusts, real estate limited partnerships, equipment leasing limited partnerships, and other securities required to be registered. Review securities offerings for compliance with Securities Act of Nebraska and the rules, regulations, and guidelines of the department. Prepare comment letters and respond to inquiries from the issuer and their legal counsel. Participate in coordinated review process. Examination of Securities Exchange Commission (SEC) registration statements and related notice filings to determine if proposed offerings are in accordance with the Securities Act of Nebraska. Review documents submitted pursuant to the Seller Assisted Marketing Plan Act to determine compliance with state and federal disclosure requirements. Review documents submitted pursuant to the Nebraska Loan Broker Act. Investigates securities to determine if they have been registered in Nebraska or if registration is required. Investigate possible violations of the Securities Act of Nebraska, the Nebraska Loan Broker Act, and the Seller Assisted Marketing Plan Act; conduct interviews of investors and other interested persons; subpoena financial records; analyze evidence obtained; recommend enforcement action. Assists in related enforcement actions, including representing the Department as subject matter or evidentiary witness, if necessary. Respond to inquiries from victims and the general public. Driving on an occasional basis. Various other duties as assigned.
Securities Analyst I: Examines prospectus and registration statements filed by corporations, limited partnerships and other business entities required to file, to determine if disclosure is sufficiently complete and in compliance with laws and regulations. Prepare comment letters and respond to inquiries from the issuer and their legal counsel. Participate in coordinated review process. Participates in the investigation of entities and their corporate officers to determine if securities fraud or other violations have taken place. Subpoenas financial records from banks and corporate officials. Assists in related enforcement actions, including representing the Department as subject matter or evidentiary witness, if necessary. Driving on an occasional basis. Various other duties as assigned.
Requirements/Qualifications:
Minimum Qualifications: Bachelor's Degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.), and, at least one year of compliance or investigative experience.
Preferred Qualifications: Securities background preferred. Experience in investigative techniques helpful.
Other:
Must possess a valid driver's license and evidence of vehicle insurance, or the ability to provide independent authorized transportation.
To comply with Neb. Rev. Stat. ยง 81-1396, the position will need to complete fingerprinting with the Nebraska State Patrol within 2 weeks of hiring or as soon as practicable. Costs of fingerprinting will be paid by NDBF.
Regular and reliable attendance is required.
Knowledge, Skills and Abilities
Securities Analyst II: Knowledge of: business accounting and corporate finance; securities theory and practice; different techniques used to raise capital in Nebraska; accounting and financial analysis; state laws pertaining to registration of securities; partnership, corporation, securities and tax laws; investigative techniques used in the investigation of financial fraud; trial evidence laws concerning testimony on securities fraud.
Ability to: deal effectively with personnel, issuers, legal counsel, other regulators, and the general public; recognize pertinent resources in order to pursue an investigation to a conclusion; communicate both orally and in, writing; analyze and appraise all types of securities; detect and investigate securities fraud using knowledge of investigative techniques and financial examination; analyze a prospectus to determine its adequacy in disclosure to potential investors; clearly communicate the position of the Department; analyze written documents for compliance with laws and regulations.
Securities Analyst I: Knowledge of: the industry, applicable state and federal laws, rules, regulations, and policies; industry guidelines; theory and practice of higher accounting, examining and industry principles; commercial law and general economic conditions; overall management and operations of the institutions examined; systems, procedures, and policies of management.
Ability to: deal effectively with personnel, issuers, legal counsel, other regulators, and the general public; recognize pertinent resources in order to pursue an investigation to a conclusion; communicate both orally and in, writing; analyze and appraise all types of securities; detect and investigate securities fraud using knowledge of investigative techniques and financial examination; analyze a prospectus to determine its adequacy in disclosure to potential investors; clearly communicate the position of the Department; analyze written documents for compliance with laws and regulations.
Benefits
We offer a comprehensive package of pay, benefits, paid time off, retirement and professional development opportunities to help you get the most out of your career and life. Your paycheck is just part of your total compensation.
Check out all that the State of Nebraska has to offer! For more information on benefits currently offered to permanent teammates, please visit: https://statejobs.nebraska.gov/index.html#benefits
Equal Opportunity Statement
The State of Nebraska values our teammates as well as a supportive environment that strives to promote diversity, inclusion, and belonging. We recruit, hire, train, and promote in all job classifications and at all levels without regard to race, color, religion, sex. age, national origin, disability, marital status or genetics.
Current employees of the State of Nebraska should NOT apply on this external career. Instead go to Workday and access the Jobs Hub - Internal Apply app from your home landing page.
