Title:  Assistant Director Capital Markets

Overview

The Vermont Department of Financial Regulation, Securities Division (Division), is seeking an Assistant Director, Capital Markets (ADCM), to contribute to the Division's mission of investor protection and market integrity. 

The primary responsibilities include the review of securities offerings filed with the Division to facilitate capital formation. The ADCM will review offering circulars, prospectuses, a variety of financial statements, and industry forms to determine compliance with the Vermont Securities Act and Vermont Securities Regulations. The ADCM will communicate verbally and in writing with issuers and legal counsel regarding the status of the offering(s). 

The ADCM must possess the ability to analyze complex regulatory filings and have knowledge of the characteristics of a variety of investment instruments. Additionally, possess strong analytical and communication skills.

Who May Apply

This position, Assistant Director Capital Markets (Job Requisition #54675), is open to all State employees and external applicants.

If you would like more information about this position, please contact Amanda.Smith@vermont.gov.

Resumes will not be accepted via e-mail. You must apply online to be considered.

Please note that multiple positions in the same work location may be filled from this job posting.

Environmental Factors

Work is performed at the office in Montpelier, VT. In addition to in-state travel, some out-of-state travel may be required for training sessions with the North American Securities Administrators Association, seminars, or industry meetings, for which private transportation might be necessary. Appearances at legislative and regulatory hearings regarding capital markets may be involved.

Minimum Qualifications

Juris Doctor (JD) degree or a Master's degree in business administration, accounting, finance, economics, business statistics, actuarial science, AND one (1) year or more of experience with a financial services regulatory organization or in a legal setting primarily engaged in financial services regulatory legal work.

OR

Bachelor's degree in business administration, accounting, finance, economics, business statistics, actuarial science, AND two (2) years or more of experience with financial services, regulatory organization, or in a legal setting primarily engaged in financial services regulatory work.

OR

Four (4) years or more of experience with a financial services regulatory organization or in a legal setting primarily engaged in financial services regulatory work.

Total Compensation

As a State employee you are offered a great career opportunity, but it's more than a paycheck. The State's total compensation package features an outstanding set of employee benefits that are worth about 30% of your total compensation, including: 

• 80% State paid medical premium and a dental plan at no cost for employees and their families 
• Work/Life balance: 11 paid holidays each year and a generous leave plan 
• State Paid Family and Medical Leave Insurance (FMLI) 
• Two ways to save for your retirement: A State defined benefit pension plan and a deferred compensation 457(b) plan 
• Tuition Reimbursement 
• Flexible spending healthcare and childcare reimbursement accounts 
• Low cost group life insurance 
• Incentive-based Wellness Program 
• Qualified Employer for Public Service Student Loan Forgiveness Program 

Want the specifics? Explore the Benefits of State Employment on our website. 

Equal Opportunity Employer

The State of Vermont celebrates diversity, and is committed to providing an environment of mutual respect and meaningful inclusion that represents a variety of backgrounds, perspectives, and skills. The State does not discriminate in employment on the basis of race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, HIV Status, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, membership in an employee organization, family medical history or genetic information, or family or parental status. The State’s employment decisions are merit-based. Retaliatory adverse employment actions by the State are forbidden.