Non-Depository and Securities Compliance Examiner 1

Step into a rewarding role as a Non-Depository and Security Compliance Examiner 1 with the Pennsylvania Department of Banking & Securities (DoBS). In this entry-level position, you will begin building the skills needed to review financial institutions and protect consumers. This position learns and participates in initial examinations of less complex non-depository financial institutions to ensure compliance with established laws, regulations, and sound management practices. Apply today and join an agency that safeguards financial integrity statewide.

This role focuses on learning and performing examination tasks for non-depository financial institutions to support safe and lawful operations. You will develop practical skills by assisting with reviews, assessments, and documentation. As a Non-Depository and Security Compliance Examiner 1, you will perform the following duties:

• Training Participation: Participate in hands-on training and practice examinations to build examining skills
• Application Reviews: Conduct initial reviews of basic corporate and branch applications under guidance
• Operational Analysis: Analyze financial operations, records, filings, and consumer files to assess compliance
• Information Requests: Prepare correspondence or contact applicants to obtain missing or additional documentation
• Regulation Learning: Learn laws and policies for state licensed non-depository institutions and apply them in communications
• Background Review: Interpret and investigate applicant and control person backgrounds for compliance with laws

Why work at DoBS? We place a high value on employee satisfaction and development to ensure a vibrant, motivated workforce. We also offer:

• Stable and supportive work environment
• Networking opportunities
• Tuition reimbursement
• On-the-job training
• Professional development

Interested in learning more? Additional details regarding this position can be found in the position description.

Work Schedule and Additional Information:

• Full-time employment
• Work hours are 8:30 AM to 5:00 PM, Monday - Friday, with a 60-minute lunch.
• Telework: You may have the opportunity to work from home (telework) part-time. In order to telework, you must have a securely configured high-speed internet connection and work from an approved location inside Pennsylvania. If you are unable to telework, you will have the option to report to the headquarters office in Harrisburg. The ability to telework is subject to change at any time. Additional details may be provided during the interview.
• Salary: Most employees will start at the beginning level of the advertised salary
• You will receive further communication regarding this position via email. Check your email, including spam/junk folders, for these notices.

QUALIFICATIONS

Minimum Experience and Training Requirements:

• A bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field; or
• An equivalent combination of experience and training that includes nine college credits in accounting, finance, economics, or a closely related field.
• Applicants will be considered to have met the educational requirements once they are within 3 months of graduating with a qualifying degree.

Other Requirements:

• You must possess and maintain a REAL ID or passport for this position. Proof of possession will be needed at the time of a conditional offer of employment.
• You must meet the PA residency requirement. For more information on ways to meet PA residency requirements, follow the link and click on Residency.
• You must be able to perform essential job functions.

How to Apply:

• Resumes, cover letters, and similar documents will not be reviewed, and the information contained therein will not be considered for the purposes of determining your eligibility for the position. Information to support your eligibility for the position must be provided on the application (i.e., relevant, detailed experience/education).
• If you are claiming education in your answers to the supplemental application questions, you must attach a copy of your college transcripts for your claim to be accepted toward meeting the minimum requirements. Unofficial transcripts are acceptable.
• Your application must be submitted by the posting closing date. Late applications and other required materials will not be accepted.
• Failure to comply with the above application requirements may eliminate you from consideration for this position.
• All application materials and interview responses must reflect the applicant's own experience, qualifications, and work. Applicants may use generative AI tools for preparation purposes only. Use of AI to misrepresent or falsify information, or to assist during interviews, is not permitted. Review the Guidance for Generative AI Tools & Job Seekers for additional information.

Veterans:

• Pennsylvania law (51 Pa. C.S. *7103) provides employment preference for qualified veterans for appointment to many state and local government jobs. To learn more about employment preferences for veterans, go to www.pa.gov/agencies/employment/how-to-apply.html and click on Veterans.

Telecommunications Relay Service (TRS):

• 711 (hearing and speech disabilities or other individuals).

If you are contacted for an interview and need accommodations due to a disability, please discuss your request for accommodations with the interviewer in advance of your interview date.

The Commonwealth is an equal employment opportunity employer and is committed to a diverse workforce. The Commonwealth values inclusion as we seek to recruit, develop, and retain the most qualified people to serve the citizens of Pennsylvania. The Commonwealth does not discriminate on the basis of race, color, religious creed, ancestry, union membership, age, gender, sexual orientation, gender identity or expression, national origin, AIDS or HIV status, disability, or any other categories protected by applicable federal or state law. All diverse candidates are encouraged to apply.

• Completing the application, including all supplemental questions, serves as your exam for this position. No additional exam is required at a test center (also referred to as a written exam).
• Your score is based on the detailed information you provide on your application and in response to the supplemental questions.
• Your score is valid for this specific posting only.
• You must provide complete and accurate information or:
  • your score may be lower than deserved.
  • you may be disqualified.
• You may only apply/test once for this posting.
• Your results will be provided via email.