Prerequisite Knowledge and Abilities Required: In addition to the knowledge required at the IV level, must be able to plan, supervise and review the activities of securities examiners to ensure that work performed is in compliance with applicable statutory and regulatory requirements; analyze problems and seek solutions concerning the application and interpretation of securities laws and regulations; implement program objectives, policies and procedures; plan, assign, review and evaluate the work of others; achieve and maintain effective working relationships with regulated businesses, industry members and members of the public sector. Duties Summary Plans, organizes and supervises the work of a group of securities examiners who process and examine applications for the registration of securities offerings, securities broker-dealers, securities salespersons, investment advisers, investment adviser representatives, franchises, professional fund-raising counsel and professional solicitors and/or audit broker-dealers, issuers and investment advisers to ensure compliance with applicable statutory and regulatory requirements.