Job Details

Recruitment Number 24-0347

Salary: $5,258 to $6,399 per month (SR-22, Step D to I)

Note: Hiring rates will be based on the availability of funds, the applicant's qualifications, and other relevant factors.

This continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the State of Hawaii's Civil Service Job Opportunities Listing page of our website.

Independently reviews and examines applications and filings for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel, and professional solicitors. Conducts audits and examinations of securities broker-dealers and investment advisers. Makes final recommendations on applications which are complete and do not have any legal issues. For more complex applications/examinations, such as those presenting questions requiring legal interpretation or questionable financial status of the applicant, performs preliminary staff work, makes evaluations, and assists the supervisor in discussions with the applicants and their legal representatives regarding nonconformance to statutory and regulatory requirements.

To qualify, you must meet all of the following requirements:

Legal Authorization to Work: The State of Hawaii requires all persons seeking employment with the government to be citizens, nationals, or permanent resident aliens of the United States, or eligible under federal law for unrestricted employment in the U.S.

Basic Education: A bachelor's degree from a regionally accredited four-year college or university, including six (6) semester credits in accounting and/or auditing.

Specialized Experience: Two and one-half (2½) years of progressively responsible professional work in business analysis, management, program administration, or related analytical fields demonstrating knowledge of laws, rules, regulations covering securities sales, and business operations of broker-dealers and investment advisers. Must demonstrate the ability to interpret, explain, and apply established rules and understand financial reports.

Examples of qualifying experience include, but are not limited to:

1. Reviewing, analyzing, or preparing securities offerings;
2. Auditing business operations of securities firms;
3. Investigating or prosecuting securities violations.

Prerequisite Knowledge and Abilities: Knowledge of laws, rules, and regulations related to securities registration, characteristics of securities, and sound investment principles. Ability to read, understand, and apply complex legal and financial materials, review business records, communicate effectively, and interact with various individuals and groups.

Substitutions Allowed: Relevant substitutions as described in the Minimum Qualification Requirements will apply.

The above summarizes the complete Minimum Qualification Requirements (MQRs). To view the full MQRs, CLICK HERE.

The State of Hawai'i complies with disability laws and provides reasonable accommodations. If needed, contact 808-###-#### for assistance.

PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM: This federal program encourages work in public service by forgiving federal student loans after 120 qualifying payments. More info at

ELECTRONIC NOTIFICATION: The Department will notify applicants via email regarding application status. Ensure your contact info is current and accessible. Disabling email notifications may result in missed updates.

TESTING INFORMATION: The examination will be based on an evaluation of education and experience. In-person interviews or further testing may be required at the discretion of the hiring agency, and applicants must be available at their own expense.

Applicants are encouraged to submit applications promptly. Referral decisions may consider application receipt date and other factors.

For more details about equal opportunity, civil service, and other employment policies, CLICK HERE.