Important Recruitment Information for this vacancy

Agency Information:

The mission of The Kansas Insurance Department is to Regulate.Educate.Advocate.

Regulate: Regulate and review companies that sell policies in Kansas to ensure solvency and compliance with insurance and securities laws and regulations.

Educate: Consumers about all things insurance and securities by publishing brochures and rate guides to assist in the shopping process, giving presentations to groups across Kansas and serving as a non-biased source of information.

Advocate:For a strong and competitive market to give Kansans choices when shopping for products that meet their needs.

About the Position

• Who can apply: Anyone

• Classified/Unclassified Service: Unclassified

• Full-Time/Part-Time: Full-time

• Regular/Temporary: Regular

• Work Schedule: Monday - Friday

• Eligible to Receive Benefits: Yes

• Veterans' Preference Eligible: Yes

• Search Keywords: Securities, Compliance, Financial, Audit, Examiner

  
  

Compensation: $55,000 entry level or commensurate with experience

• Salary can vary depending upon education, experience, or qualifications.

Employment Benefits

• Comprehensive medical, mental, dental, vision, and additional coverage

• Sick & Vacation leave

• Work-Life Balance programs: parental leave, military leave, jury leave, funeral leave

• Paid State Holidays (designated by the Governor annually)

• Fitness Centers in select locations

• Employee discounts with the STAR Program

• Retirement and deferred compensation programs

  
  

Visit the Employee Benefits page for more information…

Position Summary & Responsibilities

Position Summary:

If you are passionate about protecting and serving the citizens of Kansas, we would love for you to join our team. The Kansas Insurance Department is seeking a dedicated individual for a Compliance Examiner position in our Securities Division. As a Compliance Examiner, and member of the Compliance and Enforcement team, you will conduct compliance examinations and investigate complaints involving broker-dealers and investment advisers registered to do business in the State of Kansas. The purpose of this position is to ensure broker-dealers and investments advisers subject to registration requirements are complying with the Kansas Uniform Securities Act, applicable Kansas Administrative Regulations, and other industry rules and policies in order to protect Kansas investors. If you have strong analytical and critical thinking skills, the Compliance Examiner position will be a great fit for you. We are committed to promoting employee development by offering a career path with promotional opportunities.

Key Responsibilities

• Perform compliance examinations and conduct investigations of complaints. Examinations include review of financial and operational procedures and documents, sales practices, supervision, due diligence practices, underwriting and market making activities, documents and financial statements obtained from consumers and complainants, and compliance with Kansas registration requirements.
• Prepare reports for administrative orders, draft referrals to Securities Enforcement for follow up investigations, and testify in public proceedings.
• Perform research to answer questions from the public, members of the industry, and other regulators regarding the Kansas Uniform Securities Act, Kansas Administrative Regulations, and other industry rules and policies.

For a complete position description, please contact Dale Hubbell.

The Team

The team members in the Compliance and Enforcement Section are collaborative and hardworking and have the optimal goal to protect consumers against insurance and securities fraud in the State of Kansas. The team collaborates to make the best decisions possible for the Kansas Insurance Department and Kansas consumers.

What We Have to Offer

The Kansas Insurance Department has a comprehensive benefits package that includes:

• Personal and professional growth opportunities by offering career development programs to further career advancement.
• Outstanding work-life balance with flexible work schedules and a chance to work up to two days a week remotely after six months of employment with the Department.
• No waiting period for health insurance coverage – eligible for insurance on day one.
• Competitive Salary.
• Paid holidays, vacation leave, sick leave, and parental leave.
• Retention and Credential Bonus Opportunities.
• KPERS Retirement plan and deferred compensation program.
• Beautifully renovated office near Wanamaker Road with free parking and easy access to I-70.

Qualifications

Required:

• Bachelor's degree in accounting, finance, business administration or a closely related field. Securities industry experience may be substituted for a bachelor’s degree if deemed equivalent by the Department
• One year of professional experience working in a regulatory environment. Credentials in the securities or insurance fields may be considered to substitute for regulatory experience if deemed equivalent by the Department
• Valid driver’s license; and
• Ability to pass a KBI background check

Ideal Candidate Will Have:

• Experience in the securities industry
• Certified Fraud Examiner, Chartered Financial Analyst, Certified Financial Planner, or other securities industry certifications
• Series 7, 63 and /or 65 licenses
• Professional demeanor
• Organizational, scheduling, and prioritization skills
• Ability to manage time well, meet deadlines, work independently, and implement instructions given by senior staff members
• Maintain high level of confidentiality, ethics, and integrity
• Writing and communication skills with the ability to communicate well with individuals from various backgrounds
• Proficient in Microsoft Word, Excel, and PowerPoint

Travel: In-state travel will be required, and some limited out-of-state travel may be necessary. Applicant must therefore have a valid driver’s license.

Additional Requirements

• As a condition of employment, candidates are subject to a pre-employment screening process to include name-based criminal history records check and reference/background check of past and present employers and a KBI background check.
• Verification of identity and employment eligibility to work in the U.S. is required by federal law.
• Kansas Tax Clearance Certificate is required, please visit the Department of Revenue’s website for more information: https://www.ksrevenue.org/taxclearance.html
• Veteran’s Preference Eligible – Learn more about claiming Veteran’s preference at: https://admin.ks.gov/offices/personnel-services/jobs/veterans-preference

Recruiter Contact Information

• Name: Dale Hubbell

• Email: dale.hubbell@ks.gov

• Phone: 785-291-3801

• Mailing Address: 1300 SW Arrowhead Road, Topeka, KS 66604

  
  

Job Application Process

• First Sign in or register as a New User.

• Complete or update your contact information on the Careers> My Contact Information page. *This information is included on all your job applications.

• Upload required documents listed below for the Careers> My Job Applications page. *This information is included on all your job applications.

• Start your draft job application, upload other required documents, and Submit when it is complete.

  • Manage your draft and submitted applications on the Careers> My Job Applications page.

• Check your email and My Job Notifications for written communications from the Recruiter.

  • Email – sent to the Preferred email on the My Contact Information page

  • Notifications – view the Careers> My Job Notifications page

    
    

Helpful Resources at jobs.ks.gov: “How to Apply for a Job – Instructions” and “How to Search for a Job – Instructions"

Required Documents for this Application to be Complete

Upload these on the Careers - My Job Applications page

• Transcripts

• DD214 (if you are claiming Veteran’s Preference)

Upload these on the Attachments step in your Job Application

• Cover Letter
• Resume
• Tax Clearance Certificate

Helpful Resources at jobs.ks.gov: “How, What, & Where do I Upload Documents”

How to Claim Veterans Preference