Securities Examiner

Securities Examiner

Salary

$66,830.40 - $103,500.80 Annually

Location

Des Moines - 50313 - Polk County, IA

Job Type

Full-time

Job Number

27-00116

Agency

216 Department of Insurance & Financial Services - Insurance

Opening Date

07/16/2026

Closing Date

7/31/2026 11:59 PM Central

LinkedIn Tag

#LI-POST

Point of Contact

employment@iid.iowa.gov

To Apply

For consideration - all applicants must submit an application through this site.

• Description
• Benefits
• Questions

Job Description

This is a non-merit position.

Positions in this class are exempt from the screening and referral requirements of the Iowa Department of Administrative Services - Human Resources Enterprise

Candidates must follow the instructions in the "To Apply" section.

The Iowa Insurance Division is recruiting for a Securities Examiner 1 in the Market Regulation Bureau. This crucial position will oversee the regulation of investment advisors and securities broker-dealer offices. It is dedicated to consumer protection by investigating and enforcing Iowa insurance and financial security statutes and regulations against unlawful, incompetent, or dishonest market conduct.

Responsibilities include:

• Perform financial and market conduct examinations and data analysis related to various entities.
• Initiate and lead thorough investigations into potential violations of state securities laws and regulations.
• Conduct field and desk examinations of investment advisors and securities broker-dealer offices while maintaining compliance with FINRA and SEC standards.
• Review, analyze and investigate consumer complaints, reports and inquiries to determine if unfair trade practices or securities law violations have occurred.
• Perform accurate reporting and electronic record keeping for all assigned investigation and examination matters.
• Participate in and document interviews and discussions with company personnel, licensed entities or individuals and policyholders.
• Prepare and refer detailed fact-based investigative cases for administrative action for potential violations of securities laws.
• Maintain compliance with FINRA and SEC standards. Conduct risk-based insurance market conduct analysis and examinations consistent with the NAIC Market Regulation Handbook.

Qualified applicants will have recent experience in financial security investigations, insurance investigations, regulatory compliance, financial crimes investigation, or a related enforcement field and a strong understanding of securities, insurance and financial security principles, practices, and state regulatory requirements.

Must have the ability to analyze complex business conduct, interpret legal statutes, conduct effective interviews, and prepare detailed, well-supported investigative reports.

The Iowa Insurance Division offers a strong team culture and respect for work-life balance. We have a competitive total compensation package for all full-time employees, including:

• Iowa Public Employees Retirement System (IPERS)
• Retirement Investors Club (RIC)
• Health, Dental and Vision Insurance
• Vacation and Sick Leave
• Paid Holidays (9 days/year)
• Hybrid Work opportunities

E-Verify and Right to Work

The State of Iowa participates in E-Verify, a federal program that helps employers confirm the employment eligibility of all newly hired employees. Within the required timeframe, new hires will be verified through the E-Verify system to ensure authorization to work in the United States. The State of Iowa also complies with the federal Right to Work laws, which protect employees' rights to work without being required to join a labor organization. For more information, please visit www.e-verify.gov.

Minimum Qualification Requirements

Applicants must meet at least one of the following minimum requirements to qualify for positions in this job classification:

• Graduation from an accredited four-year college or university with a degree in insurance, accounting, actuarial science, risk management, finance, or business.
• A total of four years of education and/or full-time experience, where thirty semester hours of accredited college or university course work in insurance, accounting, actuarial science, risk management, finance, or business equals one year of full-time experience in insurance industry examination, financial analysis, quality assurance, enterprise risk management, or corporate governance.

For additional information, please click on this link

Additional Qualification Requirements

Travel, including overnight, out-of-state, and international travel, may be required for positions in this class. Employees must arrange transportation to and from assigned work areas.

Why Choose the State of Iowa?

At the heart of our commitment to excellence is a dedication to our most valuable asset - our employees. Discover the outstanding benefits that set us apart as an employer of choice.

Our Robust Benefits Package Includes:

Competitive Compensation:

Enjoy a competitive salary that reflects directly on your skills and expertise.

Keep in mind, your wage is just one part of your total compensation. Unlock the complete value of your employment with the State of Iowa by using our user-friendly Total Compensation Calculator. Gain insights into your comprehensive annual compensation, including salary and State-provided benefits.

Health and Wellness:

Prioritize your well-being with our comprehensive health plans, including medical, dental, and vision coverage. Enjoy the peace of mind knowing that the State of Iowa covers 90% of the premiums, providing you and your loved ones with excellent coverage at a remarkably low cost.

Retirement Planning:

We are proud to offer the Iowa Public Employees Retirement System (IPERS). A defined benefit plan, IPERS benefits are guaranteed for life, meaning once you retire, you will receive the same monthly benefit for the remainder of your life (once vested). We invest in your long-term financial well-being, so you can retire with peace of mind. Click here to learn more about IPERS.

Paid Time Off:

Life is unpredictable, and at the State of Iowa, we understand the importance of work-life balance. Our leave policies, including paid holidays, vacation, and sick leave with unlimited accrual, ensure you have the flexibility you need for personal and family matters.

Professional Development:

Elevate your career with continuous learning opportunities. We support your growth through training programs, workshops, and tuition reimbursement.

Employee Assistance Program (EAP):

We care about your well-being beyond the workplace. Access confidential counseling, resources, and support through our Employee Assistance Program.

Diversity and Inclusion:

Be part of a diverse and inclusive workplace that embraces all backgrounds and perspectives. We believe diversity is a strength that drives innovation.

Join Us - Elevate Your Career:

Ready to elevate your career with the State of Iowa? Click here to explore more about our unparalleled benefits and discover what makes us unique. Your success is our priority!

01

Do you understand that the information provided on your application and resume must be truthful, honest, and accurate to the best of your knowledge?

Knowingly misrepresenting the facts when submitting any information related to an application, examination, certification, appeal, or any other facet of the selection process will result in your disqualification from this application and future employment with the state of Iowa.

• Yes - I understand and agree
• No

02

PLEASE READ CAREFULLY

Have you filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq?

• No - I have NOT filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq
• Yes - I HAVE filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq

03

Have you graduated from an accredited four-year college or university with a degree in insurance, accounting, actuarial science, risk management, finance, or business?

• Yes
• No

04

Do you have a total of four years of education and/or full-time experience, where thirty semester hours of accredited college or university course work in insurance, accounting, actuarial science, risk management, finance, or business equals one year of full-time experience in insurance industry examination, financial analysis, quality assurance, enterprise risk management, or corporate governance?

• I have the total of four years of education/experience required
• I do not have the total of four years of education/experience required

Required Question

Employer State of Iowa

Agency 216 Department of Insurance & Financial Services - Insurance Address 1963 Bell Ave

STE 100

Des Moines, Iowa, 50319

Website https://iid.iowa.gov/