Program and Policy Analyst - Financial Securities

Introduction

Broaden your skills in analyzing data trends and applying program regulations and join The Department of Financial Institutions (DFI) as a Program and Policy Analyst in our Division of Securities, Bureau of Professional Registration and Compliance!

This full-time permanent position is headquartered at the Hill Farms State Office Building on the near west side of Madison. We are also conveniently located close to the restaurants, shopping, and entertainment of the Hilldale Mall .

The Department of Financial Institutions (DFI) ensures the safety and soundness of Wisconsin's financial institutions, protects consumers of financial services and facilitates economic growth. The agency regulates and licenses financial service providers who do business in Wisconsin. Find out more about DFI here !

DFI is a great place to work! In addition to meaningful and rewarding work, we offer a competitive benefits package featuring:

• Substantial leave time including at least 3.5 weeks of paid leave time to start, 9 paid holidays, and 130 hours of sick time that roll over each year.
• Excellent and affordable health, vision, and dental benefits ( health plan options start at just $39/month for single plans and $97/month for family plans after two months of employment)
• A casual office atmosphere, flexible work schedules, and telework options depending on the position's requirements
• An exceptional pension plan with employer match and lifetime retirement payment, plus an optional tax advantaged 457 retirement savings plan
• Well Wisconsin Wellness Program
• A free and confidential employee assistance program that offers employees and their immediate family dependents a variety of tools, resources, and professional consultation services to support their health, goals, and overall well-being
• Use this Total Rewards Calculator to see the total value of our competitive benefits package!

In addition to our generous employee benefits, we strive for inclusivity and celebrate different religious holidays and cultural observances and provide flexibility for utilizing paid time off for such celebrations.

Position Summary

This position is responsible for assisting the Bureau of Professional Registration and Compliance in applying the provisions of the Wisconsin Uniform Securities Law to program activities. These activities arise from the registration and regulatory oversight of financial professionals and firms transacting securities business in Wisconsin and from securities product filings. This position will also make recommendations to the Director regarding improvements and additions to the Bureau's policies and procedures; ongoing implementation and maintenance of the Bureau's internal database; and other program activities related to professional registration and securities product filings received by the Division.

Salary Information

This position is in schedule-range (07-04) with an hourly salary of $26.00 - $30.00, plus excellent benefits . A twelve-month probationary period is required. Pay for current state employees will be set in accordance with the Wisconsin State Compensation Plan.

Job Details

Infrequent travel may be required for business and/or training needs.

Prior to any appointments for position(s) filled from this announcement, candidates may be subject to a comprehensive criminal background check.

This state agency does not sponsor work visas. Any appointment made will be contingent on the applicant being able to prove valid status to work in the United States.

Certain positions within this Department may allow hybrid/work from home flexibility for a portion of their work schedule, depending on the needs of the position and the work unit. This topic and any hybrid work flexibility that may be available will be discussed in more detail in the interview process. It is not anticipated that working outside of Wisconsin (or bordering cities) will be allowed because this position must report to the Madison, WI office location at least 2 days per week.

**Please be aware that state ethics laws and policies apply to this position. If you are offered and accept this position, these restrictions may preclude you from owning bank stock or having other financial interests in certain financial institutions. If you have any questions, please contact Chris Green, Assistant Chief Legal Counsel, Wisconsin Department of Financial Institutions (DFI), chris.green1@dfi.wisconsin.gov , (608) 716-9687.**

Qualifications

Minimally qualified candidates must detail having experience in all of the following in order to be considered:
-Communicating with internal and external individuals regarding the handling/analysis of filings or complaints, problems, and/or answering program or policy related questions
-Analyzing data by creating/generating reports (e.g. research, tracking trends, evaluation, documentation, presentation of data, etc.)
-Applying program regulations (e.g. applying existing regulations, policies, procedures, instituting process improvements, or similar)

In addition to having all of the above criterion, well qualified candidates will also detail having experience in at least one of the following:
-Broker-dealer or investment advisor operations (e.g. compliance, sales practices, registration, regulatory filings, security products, or similar)
-Development, modification, and/or implementation of program policies and procedures
-Recommendation of statutory and administrative rule revisions

How To Apply

Apply online! To apply, click "Apply for Job" to start the application process. Then, you will access your existing account or to create a new account if you don't have an account. Once you are logged in, click "Apply for Job." Follow the steps outlined in the application process and submit your application.

Your application materials are very important parts of your application and are used during our evaluation process to determine your qualifications as they relate to the job. For instructions on how to develop and what should be included in these materials, click here . For more information on the basics of the selection process and how the State of WI ensures fair and equitable treatment of all applicants, click here . The vast majority of applicants are able to outline their background and experience in their resume in 1-3 pages. Any resumes submitted with more than 10 pages will not be considered after page 10. If this job posting requires a letter of qualifications, the same limit applies.

Permanent classified state employees who are eligible for consideration (transfer or voluntary demotion) should complete the application process as described above by the stated deadline.

Submitted materials will be evaluated by a panel of job experts and the most qualified applicants will be invited to participate in the next step of the selection process. Questions related to the job and how to apply can be directed to vicki.kaul@dot.wi.gov or 608-261-6302. For general wisc.jobs user information and technical assistance, please see the wisc.jobs Frequently Asked Questions page.

Deadline to Apply

All application materials must be received by 11:59 p.m. CST on September 16th, 2024.