The Examiner will work in the Securities Division, primarily in the Investment Adviser/Broker-Dealer Unit, although they may be required to work with other Units within the Division. Job duties include: conducting routine, on-site inspections of investment adviser and broker-dealer firms to include conducting interviews of registrants, reviewing and analyzing registrants’ financial and non-financial books and records, drafting correspondence to registrants outlining deficiencies found during on-site inspections, and performing any necessary follow-up; reviewing and analyzing initial and renewal registration applications and amendment filings for investment advisers and their representatives and broker-dealers and their agents; drafting correspondence to applicants outlining defic