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Examiner (Administrator I) Securities Division (REPOST) Posting Date: March 4, 2020 Closing Date: March 18, 2020 Job Title: Examiner (Administrator I) Position Type: Contractual Full Time Location: Office of the Attorney General, Securities Division, 200 St. Paul Place, Baltimore, Maryland Description: The Attorney General's Office is accepting resumes for (3) Contractual Examiners in the Securities Division. The position functions as an Examiner. The Examiner will work primarily in the Investment Adviser/Broker-Dealer Unit of the Securities Division, although they may be required to work with other Units within the Division. Duties include: conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants' financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and brokerdealers and their agents; drafting correspondence to applicants outlining deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; providing status reports; responding to inquiries from applicants, registrants, their counsel and the public; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act, respectively. Other duties include consulting with Assistant Attorneys General in the Division on matters of policy and legal interpretation and assisting the Assistant Attorneys General with disciplinary and enforcement proceedings; supervising secretary and registration assistant in conjunction with other examiners and Assistant Attorneys General; being available to perform examiner functions in different units as the need arises. Read more about this position in the full job posting: http://www.marylandattorneygeneral.gov/Pages/Employment/supportstaff.aspx The Maryland Office of the Attorney General is an equal opportunity employer, committed to diversity in the workplace. | 
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