THE POSITION
Are you looking for an opportunity that will provide career growth and advancement? The Securities Offerings Analyst 1 is responsible for performing a variety of assignments in the review of filings for registration, exemption, or notice filings of securities to be sold in Pennsylvania to determine compliance with the statutes, regulations, statements of policy and guidelines.
DESCRIPTION OF WORK
This position reviews and analyzes registration, exemption from registration of securities, or notice filings to determine if the filing is complete and accurate, filed in accordance with the provisions of the law, prior violations have been fully addressed, all technical and legal requirements are met, full disclosure of all material facts is made to the investor, and it contains no misleading statements or would otherwise tend to work a fraud on the investor.
The incumbent prepares Comment letters detailing the areas of non-compliance that were found during the review of the filing. Assists in preparing recommendations for action by the Department with respect to registrations, exemptions or notice filings and prepares supporting documentation to substantiate issuances or orders denying or revoking an exemption or denying, suspending or revoking a registration.
Additional details regarding the duties of this position may be found in the position description.
Work Schedule and Additional Information:
REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY
QUALIFICATIONS
Minimum Experience and Training Requirements:
Other Requirements:
How to Apply:
Veterans:
Telecommunications Relay Service (TRS):
If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.
The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.
EXAMINATION INFORMATION
https://www.governmentjobs.com/careers/pabureau/jobs/4120290/securities-offerings-analyst-1?department[0]=Department%20of%20Banking%20%26%20Securities&sort=PositionTitle%7CAscending&pagetype=jobOpportunitiesJobs
The Commonwealth of Pennsylvania employs over 70,000 people who deliver a wide array of services established to improve the lives of Pennsylvania citizens. We have opportunities in a variety of fields such as health and medical, education, financial, human services, engineering, environmental, information technology, administration, maintenance and trades, and public safety. The Commonwealth offers a healthy work-life balance, career mobility, statewide opportunities, and the satisfaction of public service! Go to www.employment.pa.gov to check out our open jobs!