Registration and Consumer Affairs Administrator (Montpelier, VT, US)

Overview

The State of Vermont Securities Division is looking for a Registration & Consumer Affairs Administrator to focus on the review of registration applications from securities firms and affiliated individuals. The application review requires the analysis of legal and financial documents and disclosure history to determine if registration should be granted.  The position requires regular interaction with securities industry partners. Additionally, the ideal candidate will collectively work with the securities division to present targeted outreach to the general public. Work is performed under the direction of the Registration and Administration Supervisor.

Who May Apply

This position, Registration and Consumer Affairs Administrator (Job Requisition #54924), is open to all State employees and external applicants.

If you would like more information about this position, please contact Karen.Demers@vermont.gov.

Resumes will not be accepted via e-mail. You must apply online to be considered.

Please note that multiple positions in the same work location may be filled from this job posting.

Environmental Factors

Duties are performed in a hybrid working environment in Vermont. There is significant interaction with the personnel of financial services firms, and with attorneys, sometimes in adversarial situations.

Minimum Qualifications

Bachelor's degree AND two (2) years of experience in the financial services operations and/or compliance field including broker-dealer or investment firms.

OR

Associates degree AND  four (4) years of experience in the financial services and/or compliance field including broker-dealer or investment firms.

OR

High School diploma or equivalent AND six (6) years of experience in the financial services and/or compliance field including broker-dealer or investment firms.

Preferred Qualifications

Knowledge and experience working in the FINRA Web CRD/IARD system.

Total Compensation

As a State employee you are offered a great career opportunity, but it's more than a paycheck. The State's total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including:

• 80% State paid medical premium and a dental plan at no cost for employees and their families
• Work/Life balance: 11 paid holidays each year and a generous leave plan
• State Paid Family and Medical Leave Insurance (FMLI)
• Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan
• Tuition Reimbursement
• Flexible spending healthcare and childcare reimbursement accounts
• Low cost group life insurance
• Incentive-based Wellness Program
• Qualified Employer for Public Service Student Loan Forgiveness Program

Want the specifics? Explore the Benefits of State Employment on our website.

Equal Opportunity Employer

The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status. The State’s employment decisions are merit-based. Retaliatory adverse employment actions by the State are forbidden.