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Compliance Officer

Date Posted:  Jul 22, 2022
Requisition ID:  384461

Indianapolis, IN, US, 46204


Work for Indiana

Grow your career with the State of Indiana! With more than 50 executive branch agencies, the State of Indiana is a diverse workforce offering employees stimulating and challenging projects across a broad scope of career opportunities. As a State of Indiana employee, you impact the well-being of Indiana’s communities every day.


At the State of Indiana, we don’t just talk about diversity and inclusion – Our goal is to create a welcoming, accessible, and equitable workplace, with a workforce that is representative of the State of Indiana population. As a proud equal opportunity employer, reasonable accommodations may be available to enable individuals with disabilities to interview and to perform the essential functions of a role.


About the Secretary of State, Securities Division:

The Indiana Secretary of State, Securities Division (“Division”) is responsible for regulating the securities industry in Indiana. The primary mission of the Division is investor protection. Consistent with that mission, the Division encourages capital formation and business development in the Hoosier state by maintaining the integrity of the securities market




Salary for this position may be commensurate with education and job experience at $32,000.


Next Level benefits at the State of Indiana are here! Be sure to review our expanded benefit package offerings below.


About the Job:

Compliance officers are responsible for processing applications and regisrations, identifying compliance issues, addressing those compliance issues when possible, and other duties as assigned by the Commissioner, Chief Deputy, or Compliance Manager. 

A Day in the Life:

  • Assist in covering the Division main phone lines during all office hours.
  • Manage a workload based on a specific subject area of the Division and shared subject areas that have been assigned by the Compliance Manager. 
  • Process applications, renewals, and supporting documenation and answer all internal and external questions for workload. 
  • Use the CRM, NMLS, EFD, and CRD systems to process applications, filings, and registrations. 
  • Identify and address compliance issues.
  • Track the completion of all assignments and provide metrics to the Compliance Manager weekly.
  • Assist with the receipt and distribution of SOS mail once a week and Division mail daily.
  • Assist with Division records and help with proper imaging and retention for the Division.
  • Perform general filings tasks.

What You'll Need for Success:

  • High School diploma or equivalent required.  Some post-secondary education or experience preferred.
  • One to two years of customer service experience.
  • Knowledge of all areas of Securities Division compliance applications, renewals, and filings including the Uniform Securities Act, Loan Broker Act, Collection Agencies, and Franchises.
  • Ability to effectively communicate with constituents and other staff members.
  • Ability to handle clerical functions, including filing and mail. 
  • Ability to organize and prioritize assigned work.
  • Ability to use computer systems and the Microsoft Office Suite

Supervisory Responsibilities/Direct Reports:

This role does not provide direct supervision to direct reports.

Benefits of Employment with the State of Indiana:

The State of Indiana offers a comprehensive benefit package for full-time employees which includes: 

  • Three (3) medical plan options (including RX coverage) as well as vision and dental plans;
  • Wellness program (offers premium discount for the medical plan and gift cards);
  • Health savings account, which includes bi-weekly state contribution; 
  • Flexible work scheduling options, including the potential for hybrid remote work for employees whose work may be performed outside state facilities;
  • Deferred compensation 457B account (similar to 401k plan) with employer match; 
  • Two (2) fully-funded pension plan options; 
  • A robust, comprehensive program of leave policies covering a variety of employee needs, including but not limited to:
    • 150 hours of paid new parent leave; 
    • Up to 15 hours of paid community service leave;
  • Combined 180 hours of paid vacation, personal, and sick leave time off; 
  • 12 paid holidays, 14 on election years; 
  • Education Reimbursement Program;
  • Group life insurance; 
  • Referral Bonus program;
  • Employee assistance program that allows for covered behavioral health visits; 
  • Qualified employer for the Public Service Loan Forgiveness Program; 
  • Free Parking for most positions;
  • Free LinkedIn Learning access;


Equal Employment Opportunity:

The State of Indiana is an Equal Opportunity Employer.


Current Employee? Click here to apply.

Nearest Major Market: Indianapolis