Senior Securities Specialist (Investigator)
Core
Investigate possible violations of state securities laws, analyze complex financial transactions, and recommend enforcement actions to protect investors from scams.
Role type
Senior Securities Specialist (Investigator)
Builds
Investigative summaries, reports, subpoenas, administrative orders, and consent agreements for the Maine Office of Securities
Domain
State government regulation of securities and financial markets
Deliverable
client delivery | production ML models (investigative reports/enforcement actions)
Required skills
Knowledge of state and federal securities laws, financial analysis, investigative procedures, legal document drafting, public testimony
Preferred skills
Financial services experience, financial regulatory experience, law degree, investigation background
Technologies
Microsoft Word, Excel, cloud-based collaboration platforms, financial analysis software
Responsibilities
Investigate violations of state securities laws, analyze complex financial transactions involving stocks, bonds, ETFs, and digital assets, prepare investigative reports, testify in hearings, draft subpoenas and legal documents, review license applications
Seniority
Senior, hands-on IC
