Compliance Examiner
Company: Missouri Secretary of State
Location: Jefferson City
Posted on: February 16, 2026
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Job Description:
Job Description Job Description Why This Role Matters As a
Compliance Examiner, you will help safeguard Missouri investors and
promote fairness and integrity in our financial markets. Your work
ensures that investment advisers and broker-dealers operate
ethically, responsibly, and in compliance with state and federal
laws. You are part detective, part analyst, part educator-and fully
dedicated to protecting the public trust. This position is perfect
for someone with roots in central Missouri who is ready to launch
their career-and who is willing to relocate to St. Louis once
training is complete. What You'll Do: Conduct detailed on-site and
remote examinations of Missouri-registered investment advisers
(IAs) and broker-dealers (BDs) Review and analyze financial
records, operational processes, and internal controls Identify
risks, inconsistencies, and potential compliance issues Work
closely with Division attorneys to interpret and apply securities
laws Prepare clear, comprehensive examination reports and
deficiency letters Serve as a key point of contact between the
Division and the financial services industry Provide guidance to
advisers and firms, helping them operate successfully within
Missouri's regulatory framework Support continuous improvement
efforts by recommending enhancements to examination procedures
Utilize emerging technologies-including AI-based tools-to
strengthen oversight and insight What We're Looking For :
Bachelor's degree in Financial Planning (preferred), or Accounting,
Finance, Economics, Business Administration, or related field 0-5
years of experience in financial services, compliance, or a similar
environment Strong analytical, critical thinking and
problem-solving skills Excellent written and verbal communication
abilities Attention to detail, strong organizational skills and a
voracious desire to learn Ability to work independently and as part
of a collaborative team Proficiency in Microsoft Office and basic
financial analysis tools Eagerness to adopt artificial intelligence
tools to increase depth and efficiency Preferred but not required :
Advanced degree or industry certifications (e.g., CFA, CFP, SIE,
Series 7/63/65/66) Experience in financial services, accounting,
auditing or regulatory roles Career Growth & Pathway : Training
Phase (12–24 months): You'll work in our Jefferson City office,
receiving in-depth, hands-on training from experienced examiners
and attorneys. Career Placement: After successful completion of
training, you will transition to the St. Louis Metropolitan Area ,
where most of Missouri's state-registered investment advisers and
broker-dealers are located-setting you up for long-term
professional growth and an exciting career trajectory. Optional SIE
Exam Support: After two years in the role, you'll have the
opportunity to prepare for and take the Securities Industry
Essentials (SIE) exam with Division support-an excellent credential
that strengthens your financial industry knowledge and opens
additional career pathways within securities regulation and beyond.
The above job description in no way implies that these are the only
duties to be performed by this employee. The incumbent is expected
to perform other duties necessary for the effective operation of
the department. Job Posted by ApplicantPro
Keywords: Missouri Secretary of State, Saint Charles , Compliance Examiner, Accounting, Auditing , Jefferson City, Missouri
