Employment Opportunities


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.

Auditing experience or experience in the financial services industry is preferred.  A relevant advanced degree may be substituted for experience.

Pay range this position is $40,000 - $45,000

Please apply via the Indiana job board: www.workforindiana.in.gov

Job ID # ­­619199