Location: Fulton – Atlanta
Under general supervision, the Securities Compliance Examiner is responsible for planning and performing regulatory compliance examinations of entities registered with the Securities and Charities Division (“Division”), towards the goal of ensuring compliance with applicable laws and rules, including but not limited to the Georgia Uniform Securities Act of 2008 (“Act”) and the Division’s Rules (“Rules”) and the Georgia Charitable Solicitations Act of 1998 (“Charities Solicitation Act.”).
ESSENTIAL DUTIES and RESPONSIBILITIES:
- Plan and perform comprehensive compliance examinations of entities registered or required to be registered with the Division.
- Maintain subject matter expert level knowledge on all laws, rules, regulations, industry trends, policies and procedures governing the compliance requirements for entities under the Division’s jurisdictional oversight.
- Conduct announced and unannounced examinations and other reviews related to advisory operations, securities transactions and trading practices, client accounts, portfolio management, complaints, and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with securities laws and regulations. and the applicable firm policies and procedures.
- Create detailed work papers to evidence scope of examination and the accuracy of findings.
- Review and analyze, collected data, including but not limited to all brokerage and business records,business activities, and client accounts in order to identify irregularities and provide a summary report of examination findings to designated Division management and to the subject entity.
- Correspond with subject entity directly, or through its designated representative, concerning the status of ongoing compliance examinations.
- Draft and distribute examination related communications to external subject entity and Division management.
- Prepare correspondence and communications informing subject entity of issues concerning the compliance examination that includes but is not limited to deficiencies, requests for additional information and requests for additional supplemental documentation.
- Analyze subject entity data responses including but not limited to compliance examination information requests, disclosure documents and disciplinary histories for any irregularities and deficiencies.
- Document any regulatory compliance deficiencies and identify to designated Division staff the corrective actions suggested for the subject entity to become compliant with the applicable laws and rules under the jurisdiction of the Division.
- Prepare reports, memoranda, spreadsheets, correspondence and other documents memorializing compliance examination findings.
- Provide comprehensive written and verbal reports to Division management, including information relating to regulatory concerns noted during examinations.
- Maintain accurate electronic and physical records pertaining to all records filed with the Division.
- Simultaneously manage multiple examinations within specific time requirements as assigned by designated Division management.
- Perform research on subject entity using designated resources, including but not limited to Internet search tools and the Financial Industry Regulatory Authority’s (“FINRA”) proprietary web-based CRD/IARD system.
- Conduct research to compile information needed to generate reports, complete projects and accurately respond to questions and concerns.
- Provide technical assistance to constituents, registrants, applicants, and Division staff as needed.
- Acquire, maintain and continue to develop core skills and knowledge of relevant rules, regulations, and guidelines through completion of Division approved training program, which includes online webinars and attendance at onsite training provided by NASAA. Participate in special projects and initiatives.
- Perform other related duties as assigned.
- Occasional state-wide travel required.
MINIMUM QUALIFICATIONS: Demonstrated analytical skills, preferably in a business/finance/investment-related environment.
Bachelors degree in business administration or a related field AND Two years of related experience OR One year of experience at the lower level or equivalent position OR Five years of experience in a related area OR Masters degree in business administration or a related field AND One year of related experience
Georgia Real Estate Commission Information Specialist
Location: Fulton – Atlanta
The primary job responsibility is to handle telephone requests for information within the Georgia Real Estate Commission’s Call Center. Information Specialists handle questions on such issues as licensing requirements, license histories, application processing, and complaints. Information Specialists must maintain proficiency in the license law, the appraisal act and other procedures and policies in order to effectively answer questions. Information Specialists also perform a variety of clerical duties including data entry of applications, filing and general office duties.
A 4-year college degree in a related field of study, OR 5 years of active brokerage and/or appraisal experience is preferred. Knowledge of the real estate and appraiser professions is preferred. Candidates must be proficient in Microsoft Word and Excel and have the ability to learn to use the agency’s computer systems. Must be able to communicate accurate information to others in a professional and courteous manner and convey a willingness to assist. Any unlicensed candidate will be required to obtain a GA Real Estate license within 6 months of hire date.
Applicants must provide references attesting to the candidates work habits that include a high level of commitment to perform their duties, as well as an ability to operate effectively within an organizational structure.
Note: Individuals employed by the GREC, who hold real estate licenses, are required to place them on Inactive status.
To apply for this position, submit a GA Merit System Application and your resume to:
GA Real Estate Commission & Appraisers Board
229 Peachtree St NE
International Tower, Suite 1000
Atlanta, GA 30303
All qualified applications will be considered, but may not necessarily receive an interview.
The State of Georgia is an Equal Opportunity Employer