Non-Depository and Securities Compliance Examiner 1

State of Pennsylvania
Harrisburg, Pennsylvania
Full Time

Email Address

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THE POSITION

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.

DESCRIPTION OF WORK

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.

REQUIRED EXPERIENCE, TRAINING & ELIGIBILITY

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.

EXAMINATION INFORMATION

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.

Learn more about our Total Rewards by watching this short video!

See the total value of your benefits package by exploring our benefits calculator.

Health & Wellness

We offer multiple health plans so our employees can choose what works best for themselves and their families. Our comprehensive benefits package includes health coverage, vision, dental, and wellness programs.*

Compensation & Financial Planning

We invest in our employees by providing competitive wages and encouraging financial wellness by offering multiple ways to save money and ensure peace of mind including multiple retirement and investment plan options.

Work/Life Balance

We know there's more to life than just work! Our generous paid leave benefits include paid vacation, paid sick leave, eight weeks of paid parental leave, military leave, and paid time off for most major U.S. holidays, as well as flexible work schedules and work-from-home opportunities.*

Values and Culture

We believe in the work we do and provide continual opportunities for our employees to grow and contribute to the greater good. As one of the largest employers in the state, we provide opportunities for internal mobility, professional development, and the opportunity to give back by participating in workplace charitable giving.

Employee Perks

Sometimes, it is the little "extras" that make a big difference. Our employees receive special employee-only discounts and rates on a variety of services and memberships.

For more information on all of these Total Rewards benefits, please visit www.employment.pa.gov and click on the benefits box.

Eligibility rules apply.

Have you completed nine or more college credits in accounting, finance, economics, or a closely related field? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If you answer "Yes" to this question based on education acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visiting www.naces.org and clicking the Evaluation Services Link.

You must attach your documentation prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a document to the application after it has been submitted.

Have you successfully completed, or are you within three months of completing a bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If you are within three months of completing a bachelor's degree including or supplemented by nine credits in accounting, finance, economics, or a closely related field, on what date do you expect to graduate? If this does not apply to you, please type N/A in the text box.

How much college coursework have you completed? If you are claiming credits/degree, you must upload a copy of your college transcript(s) for this education to be considered in the eligibility decision. Unofficial transcripts are acceptable. You must attach your transcript(s) prior to the submission of your application by using the "Attachments" tab on the left. You will not be able to add a transcript(s) to the application after it has been submitted.

If your education was acquired outside of the United States, you must upload a copy of your foreign credential evaluation report. We can only accept foreign credential evaluations from organizations that are members of the National Association of Credential Services (NACES). A list of current NACES members can be found by visiting www.naces.org and clicking the Evaluation Services Link.

120 credits or more
90 but less than 120 credits
60 but less than 90 credits
30 but less than 60 credits
Less than 30 credits
None

Are you currently licensed as a Certified Public Accountant (CPA)?

If you answered yes to the above question, please provide your CPA license number. If you answered no to the above question, type N/A in the text box below.

You must complete the supplemental questions below. These supplemental questions are the exam and will be scored. They are designed to give you the opportunity to relate your experience and training background to the major activities (Work Behaviors) performed in this position. Failure to provide complete and accurate information may delay the processing of your application, or result in a lower-than-deserved score or disqualification. You must complete the application and answer the supplemental questions. Resumes, cover letters, and similar documents will not be reviewed for the purposes of determining your eligibility for the position or to determine your score.

All information you provide on your application and supplemental questions is subject to verification. Any misrepresentation, falsification or omission of material facts is subject to penalty. If requested, you must provide documentation, including names, addresses, and telephone numbers of individuals who can verify the validity of the information you provide in the application and supplemental questions.

Read each work behavior carefully. Determine and select which "Level of Performance" most closely represents your highest level of experience/training. List the employer(s)/training source(s) from your Work or Education sections of the application where you gained this experience/training. The "Level of Performance" you choose for each work behavior must be clearly supported within the description of the experience and training information entered in your application or your score may be lowered. In order to receive credit for experience, you must have worked in a job for at least six months in which the experience claimed was a major function.

If you have read and understand these instructions, please click on the "Yes" button and proceed to the exam questions.

If you have general questions regarding the application and hiring process, please refer to our FAQ page.

WORK BEHAVIOR 1 - ANALYSIS AND QUALITY ASSURANCE

Reviews and analyzes financial institution documentation for deficiencies, irregular or illegal activities, and regulatory compliance. Reviews examination reports for technical conformance with regulations. Reports errors detected in documentation and recommends potential resolution.

Levels of Performance

Select the Level of Performance that best describes your claim.

A. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I was responsible for reporting any concerns and recommending and/or implementing potential resolution.
B. I have experience analyzing financial documentation to determine accuracy and regulatory compliance. I reported the concerns; however, another party was responsible for recommending potential resolution.
C. I do not have the experience listed above but I have successfully completed college-level coursework related to financial analysis, data analysis, qualitative business analysis, financial auditing, financial research, financial fraud investigations, or business law.
D. I have NO experience or coursework related to this work behavior.

In the text box below, please describe your experience as it relates to the level of performance you claimed in this work behavior. Please be sure your response addresses the items listed below which relate to your claim. If you indicated you have no work experience related to this work behavior, type N/A in the box below.

The name(s) of the employer(s) where you gained this experience.
The actual duties you performed related to reviewing and analyzing financial documentation.
Your level of responsibility.

If you have selected the level of performance pertaining to college coursework, please provide your responses to the items listed below. If you indicated you have no education/training related to this work behavior, type N/A in the text box below.

College/University
Course Title
Credits/Clock Hours

WORK BEHAVIOR 2 - FINANCIAL ANALYSIS

Applies relevant financial analysis theories and practices for review of earnings, capital, balance sheet composition, and financial performance ratio indicators. Uses financial records to evaluate financial solvency. Analyzes balance sheet, income statements, comparative analyses, earning trends, internal and external audits and other written reports.

Levels of Performance

Select the Level of Performance that best describes your claim.

A. I have experience applying relevant accounting theories and practices to complete various financial analysis techniques. I was RESPONSIBLE for the evaluation and management of financial performance.
B. I have experience reviewing and recommending relevant financial analysis techniques, but my responsibilities were limited to providing information to my supervisor.
C. I do not have the experience listed above but I have successfully completed college-level coursework related to finance or accounting.
D. I have NO experience or coursework related to this work behavior.

The name(s) of the employer(s) where you gained this experience.
The actual duties you performed related to completing various financial analyses or accounting transactions.
Your level of responsibility.

College/University
Course Title
Credits/Clock Hours

WORK BEHAVIOR 3 - WRITTEN COMMUNICATION

Prepares written, technical, or narrative documents related to the inspections of records and documents for adherence to policies, rules, and regulations. Authors narrative and analytical reports that convey the findings of examinations that include recommendations for corrective action. Prepares correspondence to communicate issues and corrective action recommendations to management personnel. Communicates findings and other concerns with the supervisor.

Levels of Performance

Select the Level of Performance that best describes your claim.

A. I have experience preparing written, technical, narrative, or analytical documents that convey findings. I was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.
B. I have experience preparing written, technical, narrative, or analytical documents that convey findings. Another party was responsible for the final written report that made recommendations to ensure adherence to policies, rules, and regulations.
C. I do not have the experience listed above but I have successfully completed college-level coursework related to business or technical writing, public speaking, or communications.
D. I have NO experience or coursework related to this work behavior.

The name(s) of the employer(s) where you gained this experience.
The actual duties you performed related to preparing written, technical, narrative, or analytical documents.
Your level of responsibility.