Prepared By: Apoorva Raj 20/006 Pooja Kaul 20/031 Arpita Gupta 20/052

Sourcing is done through:

Automatic job notification system

Job Portals
Advertisements in news papers

* E-mail alerts will be made anytime the state recruits for

the specified job in case of automatic job notification system

To manage the Securities Bureau and direct and control

registration, licensing, examination, investigation, and enforcement of state and federal laws and regulations to prevent securities fraud, promote capital raising, and assure full disclosure of information to investors; provide public education to warn investors of investment fraud; perform related work.

CRITICAL RESPONSIBILITIES :

Establishes bureau objectives, policies, procedures,

priorities and schedules

hires, assigns, trains, and evaluates staff determines final position on settlement of litigation determines final position on settlement of litigation, terms of settlement and allocation of department resources

 directs the examination and regulation of Endowed Care Cemeteries and assures use and accounting of trust funds coordinates regulation, examination, investigation, and enforcement activities with U.S. Securities and Exchange, Commodity Futures Trading Commission, the North American Securities Administrators Association, and local, state, and federal agencies

researches court cases and laws in other states with similar laws
creates initiations to deal with market changes and represents the department at meetings and conferences.

NON CRITICAL RESPONSIBILITIES:

provides public education on securities law and investment

fraud through public awareness program

prepares press releases, public service announcements, brochures, and pamphlets warning of fraud

serves on national committees and discussion panels and as liaison with the news media and Better Business Bureaus

prepares course materials and conducts continuing education

programs on securities law and regulation.

SKILLS REQUIRED:

Complex Problem Solving Judgment and Decision Making Critical Thinking Time Management

Operations Analysis
Social Perceptiveness Systems Analysis

Considerable knowledge of

state and federal securities, commodities and corporate take-over laws Some knowledge of management practices

EXPERIENCE:

directing securities examination and investigations

interpreting and applying complex state and federal securities laws

analysing and evaluating securities registration materials, prospectuses, and offering circulars for corporations wanting to raise capital
evaluating investigative reports and determining appropriate enforcement action in securities fraud and registration and licensing violations.