SECURITIES REGISTRATION & LICENSING EXAMINER - Pending approved posting on 4/4/2013
Location: Las Vegas, Nevada
Description: Nevada Employee Action and Timekeeping System is hiring SECURITIES REGISTRATION & LICENSING EXAMINER - Pending approved posting on 4/4/2013 right now, this career will be settled in Nevada. For detail informations about this career opportunity kindly see the descriptions. Under administrative direction, the Securities Registration and ! Licensing Examiner manages the activities and operations of the Securities Division, Registration and Licensing Sections. 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 Neva! da 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 see full Class Specifications visit: To Qualify: In order to be qualified, you mus! t 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.
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If you were eligible to this career, please give us your resume, with salary requirements and a resume to Nevada Employee Action and Timekeeping System.
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This career starts available on: Thu, 14 Mar 2013 14:07:56 GMT
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