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State of Nevada Announces
An Open Competitive Recruitment for:
SECURITIES REGISTRATION & LICENSING EXAMINER - Pending approved posting on 4/4/2013
APPROXIMATE ANNUAL SALARY -  $52,847.28 to  $79,114.32  PAY GRADE: 39
For more information on benefit and retirement programs, please see the sections below.
In order to receive consideration, applicants must indicate their availability for any work type, travel, and location requirements listed.
Work Type: A Permanent, full time vacancy
Department: Secretary of State
Division: Secretary of State
Location: Las Vegas, Boulder City, Indian Springs, Jean, Henderson
Job Class Code: 07.186
Announcement Number: 18958
Open to all qualified persons.
Posted 03/12/2013
Close Date: 04/26/2013
   Phone: (775)684-0129
   Email: sdunn@admin.nv.gov
Applications accepted for another Expired
The Position
Incumbents function as first-line supervisors who train, supervise and evaluate the performance of assigned staff; assign and review work; and initiate disciplinary action.
The Division's securities examiner reviews applications to register securities in the State of Nevada. under the direction of the Administrator, determines if an application under review complies with state/federal statutes and regulations, pursuant to NRS, Chapter 90 and NAC, Chapter 90, NRS 91, as well as guidelines adopted by Division. The examiner communicates with the applicant and/or applicant's counsel during the review process and informs him/her of approval of the application or any noted deficiencies; recommends ways to overcome deficiency and prepares and issues Notices or Comment Letters reflecting the outcome of the review. The examiner reviews Notice Filings of federally covered securities and Claims of Exemption from Nevada registration; communicates any failure of procedural compliance to the applicant. The examiner is responsible for tracking the licensing of Transfer Agents with businesses in Nevada as well as licensing Students and Athletic Agents. Serves as the Division's Custodian of Records for registration and exemption files. Additionally, the examiner assists in review of the licensing of Sales Agents, Investment Advisors and Investment Advisor Firms. This requires knowledge of the appropriate NRS and NAC provisions as well as a working command of the CRD and IARD systems. Participates in coordinated reviews with other regional divisions for securities offerings as well as investment advisor firm licensing. Assists the public at large with questions relating to Nevada's securities laws and regulations. May be required to respond to No Comment Letters, and conduct legal research.

To Qualify:
In order to be qualified, you must meet the following requirements:
Education and Experience (Minimum Qualifications)
    Graduation from an accredited law school and a total of two years of experience in the securities field involving interaction with the public in either securities investigation, analysis, issuance, sales, licensing, or experience in a closely related field; OR an equivalent combination of education and experience.
Special Notes
    Incumbents not in possession of an active State Bar of Nevada License at the time of appointment will be required to submit an application, and be qualified pursuant to Supreme Court Rule 49.10 regarding the limited practice of attorneys employed in government or as in-house counsel.
    As a condition of continuing employment, the incumbent must maintain either a State Bar of Nevada License or a certification by the State Bar of Nevada under Supreme Court Rule 49.10.
Special Requirements
    A valid driver's license or evidence of equivalent mobility is required at the time of appointment and as a condition of continued employment.
    A pre-employment criminal history check and fingerprinting are required. Persons offered employment in this position will be required to pay for these items.
    A State of Nevada/FBI background check will be required of the selected applicant.
The Examination
Application Evaluation Exam
The exam will consist of an application evaluation. It is essential that applications include extensively detailed information with time frames regarding education and experience. The most qualified applicants will be contacted by the hiring agency for interview.
The following additional questions are part of this Recruitment
1) Do you have current State Bar of Nevada licensure? If so, please provide license information.
2) Are you qualified to become certified pursuant to Supreme Court Rule 49.10? If so, please explain.
For more information about state employment, visit the following:
Division of Human Resource Management: http://hr.nv.gov
Public Employees Retirement System: http://www.nvpers.org
Public Employees Benefits Program: http://pebp.state.nv.us
Help us reach qualified candidates! Refer a friend by clicking here:
Direct Inquiries or Correspondence to:
Division of Human Resource Management
Northern Nevada
209 East Musser Street,
Room 101
Carson City, Nevada 89701-4204

TDD for the Hearing Impaired (800) 326-6868
Division of Human Resource Management
Southern Nevada
555 East Washington Avenue,
Suite 1400
Las Vegas, Nevada 89101-1046

TDD for the Hearing Impaired (800) 326-6868

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