State of Maine s12

State of Maine Department of Professional and Financial Regulation Office of Securities

SENIOR SECURITIES SPECIALIST (0888)

Pay Range: (25) $39,457.60 to $53,580.80 (Annual Salary)

BENEFITS Value of State-paid Dental Insurance: $13.69 biweekly Value* of State-paid Health Insurance: Level 1: 100% State Contribution (employee pays nothing): $363.77 biweekly Level 2: 95% State Contribution (employee pays 5%): $345.58 biweekly Level 3: 90% State Contribution (employee pays 10%): $327.39 biweekly Level 4: 85% State Contribution (employee pays 15%): $309.20 biweekly

*The level of the actual value of state paid Health Insurance will be based on the employee’s wage rate and status with regard to the health credit premium program as of July 1, 2011.

Retirement Contributions: 11.54 % of pay

Opening: March 16, 2012 Closing: April 2, 2012

Location: Gardiner, Maine

The Office of Securities, State of Maine Department of Professional and Financial Regulation, has a vacancy for a Senior Securities Specialist.

The Office of Securities is responsible for administering and enforcing Maine’s securities laws. This position performs investigation, examination, enforcement and licensing work. Responsibilities include conducting investigations of consumer complaints and assisting in any resulting enforcement activity including analyzing complex documentation and deposing victims and subjects of investigations; drafting legal documents including administrative orders, consent agreements and subpoenas; assisting in preparing securities cases for hearing or trial or referral to the Attorney General’s office; testifying at a hearing or trial; reviewing brokerage firm, investment adviser, agent and investment adviser representative practices to uncover unethical or unlawful practices; conducting examinations, including obtaining and analyzing relevant information; and reviewing complex broker-dealer, agent, investment adviser and investment adviser representative license applications. The position is based in Gardiner, Maine. OCCASIONAL STATEWIDE TRAVEL IS REQUIRED. Minimum Qualifications: A seven (7) year combination of education and/or experience providing a knowledge of securities, law or finance. Examples of acceptable experience are investigative work in a securities agency; an investigator for a legislative or congressional committee involved with banking, securities legislation, or business or labor practices; or experience in a broker-dealer firm.

After meeting the above minimum qualifications, preference will be given to those applicants who have a Law degree, a Bachelors degree in a related field or relevant experience in law enforcement and/or knowledge of the financial services industry including but not limited to securities, banking, insurance and consumer finance.

To apply: Qualified candidates should send, a State of Maine Direct Hire Application, resume and letter of interest to:

Andrew Birch Personnel Assistant Security and Employment Service Center 45 Commerce Drive, SHS# 108 Augusta, Maine 04333-0108

Applications must be complete and postmarked by April 2, 2012. Applications are available at your local CareerCenter, the Security and Employment Service Center, Human Resources Office (207) 623-6739; TTY 1-800-794-1110; e-mail ([email protected]), or through the Maine State Government Website (www.maine.gov/bhr/state_jobs/how_to/direct.htm).

AN EQUAL OPPORTUNITY EMPLOYER