Recruitment Number 23-0653
The current vacancy is with the Department of Commerce & Consumer Affairs, Business Registration Division.
Salary: $6,177 to $7,517 per month (SR-26, Step D to I)
Note: Hiring rates will be based on availability of funds, the applicant’s qualifications, and other relevant factors.
This continuous recruitment may be closed at any time. The notice of the last day to file applications will be posted on the State of Hawaii’s Civil Service Job Opportunities Listing page of our website.
The Securities Compliance Supervisor is responsible for planning, organizing, directing and supervising the activities of the Securities Compliance Branch; serves as technical adviser to the Commissioner of Securities on matters relating to licensing and registration of securities offerings and securities broker-dealers, et al., plans and develops operating policies and procedures; provides continuing technical direction over all activities of the securities compliance program; reviews and evaluates activities, operations and staff performance; and performs other related duties as assigned.
This position establishes and maintains effective working relationships with industry representatives, legal counsel, and representatives of other State and federal agencies to ensure compliance with all State and federal licensing, financial and regulatory requirements; and receives general guidance and direction from the Commissioner of Securities and works in accordance with pertinent State laws and departmental rules, policies and procedures.
To qualify, you must meet all of the following requirements:
Prerequisite Knowledge and Abilities Required:
Knowledge of: Principles and practices of supervision.
Ability to: Plan, organize, direct and supervise the activities of the Securities Compliance Branch through subordinate Supervising Securities Examiners; supervise subordinate professional and clerical staff and recommend various personnel actions; evaluate program operations, develop operating policies and procedures, analyze staffing needs and other requirements, and prepare budget requests; review complaints and refer possible violations for enforcement action; and serve as expert witness in court proceedings and administrative hearings.
Note: Refer to the Minimum Qualification Requirements for a full and complete description of the required Prerequisite Knowledge and Abilities by clicking on the link below. Please reference the Prerequisite Knowledge and Abilities for the Securities Examiner III and IV, and Supervising Securities Examiner.
Basic Education Requirement: A bachelor’s degree from an accredited four-year college or university with six (6) semester credits in accounting and/or auditing.
Specialized Experience: Three and one-half (3-1/2) years of progressively responsible professional work experience in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrated knowledge of laws, rules and regulations covering the sale of securities; and the business operations and practices of broker-dealers, investment advisers and their representatives. Such experience must demonstrate the ability to interpret, explain and apply established rules, regulations, procedures, policies, precedents or other criteria and the ability to understand accounting and financial reports.
Examples of Qualifying Experience may include, but are not limited to:
1) Professional experience in reviewing, analyzing, or preparing securities offerings;
2) Professional auditing or accounting experience with an accounting firm which included auditing business operations of firms specializing in the sale of securities;
3) Professional experience in the investigation and/or prosecution of securities violations.
Supervisory Experience: Supervisory work experience which included:
1) planning, organizing, scheduling, and directing the work of others;
2) assigning and reviewing their work;
3) advising them on difficult work problems;
4) training and developing subordinates; and
5) evaluating their work performance.
Substitutions Allowed: Relevant substitutions as described in the Minimum Qualification Requirements will apply.
The information provided above represents a summary of the complete Minimum Qualification Requirements (MQRs). To view the MQRs in their entirety, please CLICK HERE.
02147:031618:13:MA
The State of Hawai’i complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If you require reasonable accommodations in completing an application, any pre-employment testing, or otherwise participating in the selection process, please call 808-587-0936 for assistance.
PUBLIC SERVICE LOAN FORGIVENESS (PSLF) PROGRAM
The PSLF Program is a federal program that is intended to encourage individuals to work in public service by forgiving the balance of their federal student loans. To qualify, the individual must have made 120 qualifying payments while employed by a qualifying employer. For more information, please click: https://studentaid.ed.gov/sa/repay-loans/forgiveness-cancellation/public-service
ELECTRONIC NOTIFICATION TO APPLICANTS
The Department of Human Resources Development (HRD) will use electronic mail (email) to notify applicants of important information relating to the status and processing of their applications as part of our ongoing efforts to increase operational efficiency, promote the conservation of green resources, and minimize delays and costs.
Please ensure that the email address and contact information you provide is current, secure, and readily accessible to you. We will not be responsible in any way if you do not receive our emails or fail to check your email-box in a timely manner. In addition, please be aware that you may no longer receive notification about applications submitted if you choose to disable the Job Application Emails feature in your Account Settings.
TESTING INFORMATION
The examination for this recruitment will be conducted on an unassembled basis where the examination score is based on an evaluation and rating of your education and experience. It is therefore important that your employment application provide a clear and detailed description of the duties and responsibilities of each position you held.
In-person interviews and/or further testing in Hawaii may be required at the discretion of the hiring agency. If in-person interviews and/or further testing is a requirement, applicants who meet the minimum qualification requirements and are referred to the vacancy must be available to participate in person and at their own expense in this required phase of the selection process.
Applicants are encouraged to submit their applications as soon as possible. In addition to employment availability and score, the referral of qualified applicants may be based upon other factors including date of receipt of application.
CLICK HERE for further information about Equal Employment Opportunity, the Merit Civil Service System, Citizenship and other requirements, Reasonable Accommodation, Veterans Preference, Examination Requirements, and the State Recruiting Office’s Levels of Review.
YOUR JOB BENEFITS WITH THE STATE OF HAWAI’I
The State of Hawaii offers its employees who are members of the civil service a range of benefits. Some benefits are offered as a result of collective bargaining agreements and changes may occur.
A summary of these benefits, which is based on full-time employment, is listed below.
Note: Benefits for NON-CIVIL SERVICE appointments will be provided by the hiring department at the time of interview.
With Civil Service modernization, effective July 1, 2002, employees appointed to temporary positions may also gain membership in the civil service upon satisfactory completion of an initial probation period of at least six months. As a temporary member of the civil service, you will be eligible to apply for promotion and transfer opportunities to permanent as well as other temporary positions. You may also enjoy other rights and benefits afforded to members of the civil service, with the exception of return rights and placement rights associated with a reduction-in-force of a permanent member of the civil service.
Paid Holidays
You may be eligible for 13 paid holidays each year; 14 holidays during an election year.
Paid Vacation
You may earn vacation leave at a rate that other employers find tough to match – 21 days each full year from the FIRST year of employment. This compares to an average of 10 days offered by private companies. You may accumulate up to a total of 90 days (720 hours) of vacation.
Paid Sick Leave
You may earn sick leave at the same rate as vacation – 21 days per year from the FIRST year, and there is no limit on the amount you can accumulate. Expectant mothers may also use sick leave for pre-natal or post-natal check-ups or any illness related to pregnancy. Plus, unused accumulated sick leave may eventually be used to increase your retirement benefits in certain situations.
Other Leaves
Reasonable time off with pay may be provided for jury or witness duty, a death in the family, some military duty, and donation to the Blood Bank. Leave sharing donations may be granted to eligible employees who have serious personal illnesses or injuries or need to care for a seriously ill or injured family member. Various leaves without pay may also be granted with full re-employment rights.
Health Insurance
The State pays a part of the premiums for each employee’s enrollment in a State sponsored Medical, Drug, Vision, and Dental Plan. For more information, visit the Employer Union Trust Fund website www.eutf.hawaii.gov for coverage and options.
Group Life Insurance
The State provides a free life insurance policy for employees.
Retirement Plan
The State contributes to a retirement plan for eligible employees. Generally, employees under the Hybrid Plan with 10 years of credited service and who have reached 65 years of age or have 30 years of credited service and have reached 60 years of age may retire and receive benefits. To find out more about the options you have, go to http://ers.ehawaii.gov.
Premium Conversion Plan
Participating employees may increase their take-home pay by having the State deduct the cost of health care premiums before payroll taxes are withheld.
Flexible Spending Accounts
Eligible employees can reduce their federal and state income taxes and social security taxes through a tax-savings benefit program called Island Flex. This program allows employees to set aside money from their paychecks to pay for out-of-pocket health care expenses and eligible dependent care expenses on a BEFORE-TAX basis.
Transportation Benefits
Participating employees may increase their take-home pay by having the State deduct qualified transportation expenses (i.e. eligible parking fees, monthly bus passes for TheBus, fare coupons for The Handi-Van, Vanpool Hawaii participation fee, etc.) through pre-tax payroll deductions.
Deferred Compensation
The State offers employees a voluntary pre-tax retirement savings plan designed to give employees a tax break today and an opportunity to build a retirement nest egg through voluntary payroll deductions. Several types of investment options are available.
Temporary Disability Insurance
Qualified employees may be eligible to receive benefits for a disability caused by a non-work related injury or illness under this program.
Social Security
As an employer, the State also contributes to an employee’s social security account.
Promotions & Transfers
For employees with membership in the civil service, the State offers promotion and transfer opportunities throughout the State Executive Branch.
Training & Continuing Education
The State supports developmental activities related to an employee’s work. In many departments there are numerous in-service training opportunities available. Sabbatical leaves with pay are available for qualified employees.
Travel Expenses
The State may pay for certain business related travel expenses including mileage reimbursement for use of a personal car during work, airfare, meals and lodging expenses for trips to neighbor islands or out of state.
Incentive & Service Awards
The State has a program that recognizes employees for their years of service and provides cash awards for their superior accomplishments and other contributions that improve State operations.
Union & Collective Bargaining
Employees have the right to join the union for collective bargaining with the State and employee representation. Some employee unions provide discounts, insurance and other opportunities. Employees may also decide not to join a union, however, employees are required to pay union service fees unless the employee’s job is excluded from collective bargaining.
The above information is solely intended as a summary of the benefits available to State of Hawaii employees and is subject to change. Whether or not you are entitled to a particular benefit will depend on your specific appointment and employment status (included, excluded, exempt, non-exempt). Please refer to the appropriate collective bargaining agreement or executive order and all applicable laws, rules, policies, or plan documents for further details. Nothing herein shall be deemed as creating an employment contract, promise of employment, promise of continued employment, or obligation of any kind on the part of the State of Hawaii.
CLICK HERE for more information on the State of Hawaii’s Benefits At-A-Glance.
The State of Hawaii is an Equal Opportunity Employer
Revised 01/13
01
The responses you provide to these Supplemental Questions will be used in combination with your application to determine whether you meet the qualification requirements and/or your final score. Failure to provide detailed and complete information may result in your application being rejected or receiving a lower score.
Please do not submit a resume in place of completing the Supplemental Questions.
You must submit verification (e.g., copies of official transcripts or diploma as instructed below) in order to receive credit for education. In general, proof of education downloaded from and/or submitted through the internet will not be accepted. Education obtained outside the United States must be comparable to education earned at an accredited school in the United States. We also reserve the right to request further information about your academic program, evidence of comparability, or an original transcript.
To receive credit for substitute, temporary assignment, or volunteer experience, you must submit an official letter of verification. The letter should include the job title, employment dates, number of hours worked, a description of the duties performed, and a contact name and phone number.
Any information you submit may be verified.
Supporting documents must be either electronically attached to your application or submitted to our office at: State of Hawaii – Department of Human Resources Development – 235 South Beretania Street, 11th Floor – Honolulu, Hawaii 96813.
02
Applicants must meet all the requirements for the position they are seeking as of the date of the application, unless otherwise specified.
In general, concurrent experiences and/or education will not be double credited unless otherwise specified.
Your possession of the required amount of experience will not in and of itself be accepted as proof of qualification for the position. The overall paid or unpaid experience must be of such scope and responsibility as to conclusively demonstrate that you have the ability to perform the duties of the position.
Our calculation of experience will be based upon a full-time, 40-hour work week. Part-time experience will be pro-rated.
Example: Twelve months of experience at 20 hours/week will be pro-rated to six months of experience. Also, hours worked in excess of 40 hours/week will not be extra credited.
Example: Twelve months of experience at 60 hours/week will be credited as one year of experience, not one and a half years.
03
A link to the Minimum Qualification Requirements (MQRs) has been provided in the online job announcement. Please review the MQRs in their entirety.
04
Please indicate how you meet this requirement by selecting one of following choices. (Refer to the Minimum Qualification Requirements for more detailed information.)
In order to receive credit for your academic training, you MUST SUBMIT a legible copy of your OFFICIAL TRANSCRIPTS by attaching it to your online application, if you have not already done so.
NOTE: If you are using relevant work experience in lieu of a Bachelor’s degree to fulfill the Education Requirement, clearly describe this work experience in your application. In order to receive credit, this experience must be comparable in scope, level and quality to knowledge and skills gained via completion of study leading to a Bachelor’s degree with six (6) semester credits in accounting and/or auditing.
05
06
If you selected “No Experience” to Question #5 above, indicate “N/A” below.
If you possess the Specialized Experience, provide the following information to address your relevant work experiences below.
Include your specific role, the steps you took, and relevant examples to show the scope and extent of your responsibilities.
Address each change in employer or positions with the same employer separately.
The information for each employer should include:
A. Employer’s name, your official job title, complete employment dates (month/year to month/year), and average number of hours per week spent collectively on duties below;
B. Describe this employer, including the type of organization (private or public agency, non-profit, self employment, consultant, etc.), the major sections, the section you worked in, the number and types of professional staff you worked with, kinds of services provided, and clientele served;
C. The primary function/focus of your position and your major duties and responsibilities;
D. A detailed description of your professional duties and responsibilities, if any, in business analysis, business management, program administration, or other progressively responsible analytical experience which demonstrates your knowledge in the following areas below. Identify your specific role, the steps you took, and give relevant examples to show the extent of your responsibility.
1) Laws, rules and regulations covering the sale of securities;
2) Knowledge, experience and understanding in business operations and practices of broker-dealers, investment advisers and their representatives;
3) Ability to interpret, explain and apply established rules and regulations covering the sale of securities;
4) Ability to interpret, explain, and apply policies, procedures, precedents or other criteria covering the sale of securities;
5) Ability to understand accounting and financial reports. Have you conducted audits of a business entity’s financial record keeping and business practices? If so, describe the criteria you used to audit and the outcome or recommendation of the audit.
E. Explain how you gained the knowledge and skills required to perform the core job functions described above.
F. What degree of supervision did you receive in performing these duties? What kinds of decisions were you authorized and/or not authorized to make?
G. What was the official title of your supervisor Describe in detail how your duties and level of authority differed from your supervisor.
Be specific and complete in your responses. To receive credit, the employer(s) and each position held must be identified in the experience section of your application.
A resume submitted in lieu of answering each supplemental question completely will not be accepted. We do not make assumptions.
If your write up is unclear, you may be asked to provide a copy of your official Job/Position Description.
07
In order to receive credit for your academic training, you MUST SUBMIT a legible copy of your OFFICIAL TRANSCRIPTS and/or CPA Certificate by attaching it to your online application.
08
09
If you possess the Supervisory Experience, provide the following information to address your relevant background. Address each change in employer or positions with the same employer separately:
A. Employer, complete dates (Month/year to Month/year) you held this position, your official job title, and average number of hours per week spent collectively on duties below;
B. The primary function of your position and your major duties and responsibilities;
C. A detailed description of your formal supervisory duties and responsibilities in the following areas. Include the numbers and titles of positions supervised (e.g., 1 Accountant, 2 Account Clerks, etc.):
1) Planning, organizing, scheduling, and directing the work of others;
2) Assigning and reviewing their work;
3) Advising them on difficult work problems;
4) Training and developing subordinates; and
employees.
5) Evaluating their work performance.
D. How did your supervisory duties and level of authority differ from those of your supervisor?
Be specific and complete in your responses. To receive credit, the employer(s) and each position held must be identified in the experience section of your application.
A resume submitted in lieu of answering each supplemental question completely will not be accepted. We do not make assumptions.
If your write up is unclear, you may be asked to provide a copy of your official Job/Position Description.
* Required Question
Work Dates Needed: Ongoing Preferred Schedule: 24 shift hours, 8a-8a Worksite Setting: Hospital Scope of Work: 100% OB/GYN, cover emergent...
Apply For This JobJob Details Full-timeEstimated: $190,000 – $250,000 a year Qualifications Ansible DEA Certification BC/BE Medical License Documentation review Full Job Description...
Apply For This JobFull Job Description Claims Specialists (CS) in Field Offices play a vital role delivering Social Security benefits and services to...
Apply For This JobAssistant Professor of Illustration Department of Visual Arts College of the Arts Assistant Professor Fall 2024 The Department of Visual...
Apply For This JobCreative X is a global, integrated creative agency that drives the creative vision for our brands and how they are...
Apply For This JobTravelNurseSource is working with Aequor Healthcare to find a qualified ER/Trauma RN in Norfolk, Virginia, 23507! About The Position No...
Apply For This Job