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State of Nevada Announces
An Open Competitive Recruitment for:
SECURITIES REGISTRATION & LICENSING EXAMINER
APPROXIMATE ANNUAL SALARY -  $54,747.36 to  $81,954.00  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.
JOB INFORMATION
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
RECRUITMENT INFORMATION
Announcement Number: 27491
Open to all qualified persons.
Posted 02/23/2016
Close Date: 06/16/2016
Recruiter:
   HEATHER DAPICE
   Phone: (702)486-2919
   Email: hdapice@admin.nv.gov
Applications accepted for another Expired
The Position
Under administrative direction, the Securities Registration and Licensing Examiner manages the activities and operations of the Securities Division, Registration and Licensing Sections, and reviews, investigates and analyzes securities offerings and registration and licensing applications to ensure compliance with State and federal securities and commodities laws and regulations. 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 Securities Division of the Office of the Secretary of State ("Division") is located in Las Vegas, Nevada. The Division's Securities Registration & Licensing Examiner ("Securtities Examiner") reviews applications to register securities in the State of Nevada. Under the direction of the Administrator, the Securities Examiner determines if an application under review complies with state statutes and regulations pursuant to NRS Chapter 90 and NAC Chapter 90, as well as guidelines adopted by Division. The Securities 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 any deficiency and prepares and issues notices or comment letters reflecting the outcome of the review. The Securities Examiner reviews notice filings of federally covered securities and claims of exemption from Nevada registration and communicates any failure of procedural compliance to the applicant. The Securities Examiner is responsible for tracking the licensing of transfer agents with businesses in Nevada as well as licensing of athlete's agents. The Securities Examiner serves as the Division's custodian of records for registration and exemption files. Additionally, the Securities Examiner assists in review of the licensing of sales representatives, investment advisers and investment adviser firms. This requires knowledge of the appropriate NRS and NAC provisions as well as a working command of the CRD/IARD system. The Securities Examiner also assists the public at large with questions relating to Nevada's securities laws and regulations and conducts legal research. Position may require occasional travel to attend court hearings and/or testify in court.

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 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 detailed information with time frames regarding education and experience. The most qualified applicants will be contacted by the hiring agency for interview. The hiring agency may require specific skills related testing as part of the interviewing process.
The following additional questions are part of this Recruitment
1) Are you licensed to practice law in the State of Nevada? If so, please provide bar number.
2) Are you qualified to become certified pursuant to Nevada Supreme Court Rule 49.10? If so, please explain.
INFORMATIONAL LINKS
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
More Benefits Information: http://nvjobs.nv.gov/Applicants/EB
REFER A FRIEND
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Email
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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