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Non-Depository and Securities Compliance Examiner 1

  • Full Time
  • Anywhere

Commonwealth of Pennsylvania

Commonwealth of Pennsylvania — West End, Dauphin County

THE POSITION The Department of Banking and Securities is seeking a Non-Depository and Securities Compliance Examiner 1 who is eager to make a difference in the financial landscape. In this entry level position, you will examine and audit broker-dealer firms and investment advisers registered in Pennsylvania to determine compliance with federal, state and other regulatory requirements and ensure in…

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