Compliance Officer

The Compliance Officer is responsible for processing applications, assisting Securities Division staff in the enforcement of the laws over which the Securities Division has jurisdiction and addressing issues with licensing and registration applications. Critical Functions include customer service duties involving phone and mail responsibilities, file maintenance, and database upkeep.

Salary for this position is $22,500.

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
aglass@sos.in.gov

Investment Adviser Examiner

The Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of state registered investment advisers.  The examinations may be announced or unannounced and also may be for cause or as part of a random selection process.  The examination will involve a review of the financial books and records of the service provider, a review of client accounts, and potentially an interview with the service provider, to determine compliance with the Indiana Uniform Securities Act.  Results of the examinations will be documented in a report for further review by the Securities Division. Testifying in administrative hearings or in court is a possibility.

Three to five years of experience in the financial services industry is preferred.  A law degree may be substituted for financial services industry experience.

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 West Washington Street E-111
Indianapolis, IN 46204
aglass@sos.in.gov

Enforcement Investigator

The Enforcement Investigator with the Indiana Secretary of State, Securities Division will perform investigations into violations of the Indiana Uniform Securities Act and the Indiana Loan Broker Act that arise as a result of information received by the Securities Division.  The Enforcement Investigator will work in conjunction with an Enforcement Attorney to determine the plan of the investigation, conduct interviews, gather evidence, prepare reports, and potentially testify in administrative hearings, civil trials, and criminal prosecutions.  A Bachelor’s degree from an accredited college or university is required.   Knowledge of accounting principles and the ability to compile and analyze large amounts of financial data and three to five years of investigative experience is preferred. 

Please send resume and cover letter to:

Alex Glass
Chief Deputy Securities Commissioner
Indiana Secretary of State Connie Lawson
302 W. Washington Street E-111
Indianapolis, IN 46204
aglass@sos.in.gov