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Secretary of State

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Loan Broker Examiner

The Loan Broker Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of loan brokers in the State of Indiana to ensure compliance with the Indiana Loan Broker Act and applicable federal statutes.  The examinations may be announced or unannounced and may be for cause or as part of an examination protocol.   Results of the examinations will be documented in a report for further review by the Securities Division.  Testifying in administrative hearings or in court is a possibility.

Other duties include: Participation on the Mortgage Lending and Fraud Prevention Task Force, being the Division’s CSBS/NMLS liaison, advising the Commissioner and Chief Deputy on state and federal loan broker policy and performing other tasks as assigned.

Three to five years of experience in the mortgage industry is preferred.

Please send resume and cover letter to:

Noelle Sykes
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
nsykes@sos.in.gov

 

Examiner

The Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of state registered investment advisers and broker-dealers located in Indiana.  The examinations may be announced or unannounced and also may be for cause or as part of a random selection process.  The examination will involve a review of the financial books and records of the service provider, a review of client accounts, and potentially an interview with the service provider, to determine compliance with the Indiana Uniform Securities Act.  Results of the examinations will be documented in a report for further review by the Securities Division. Testifying in administrative hearings or in court is a possibility.

Three to five years of experience in the financial services industry is preferred.  A law degree may be substituted for financial services industry experience.

Please send resume and cover letter to:

Noelle Sykes
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
nsykes@sos.in.gov


Compliance Officer

The Compliance Officer is responsible for processing applications, assisting Securities Division staff in the enforcement of the laws over which the Securities Division has jurisdiction and addressing issues with licensing and registration applications.  Critical functions include customer service duties involving phone and mail responsibilities, file maintenance, and database upkeep.

Please send resume and cover letter to:

Noelle Sykes
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
nsykes@sos.in.gov