Posting Details

The New Mexico Regulation and Licensing Department regulates individuals and businesses in 35 industries, professions, and trades across the state. The Securities Division of the Regulation and Licensing Department seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services. It accomplishes this goal by: Educating New Mexicans about the proper ways of raising investment capital and about the risks associated with investments; Reviewing and approving some types of investment opportunities before issuers raise capital to ensure compliance with the law; Discovering, stopping, and prosecuting those who violate the laws governing investment capital, or who commit fraud; Licensing stock brokers and investment advisers whose business is to assist and advise investors.

Interviews are anticipated to be conducted within two weeks of closing date.
Why does the job exist?

Verify and record industry compliance with New Mexico filing requirements for investment instruments. Track filings and associated payments.
How does it get done?

The position is responsible for receiving initial registrations and renewals; assuring appropriate fees have been paid; creating and maintaining reconciliation and accounting reports; interacting with issuers and filing fees associated with new/renewal registrations; regularly utilizing programs including Excel, Outlook, and other software to complete daily tasks; actively interacting with investment industry; creating reports; other duties as required.
Who are the customers?

Issuers of securities and New Mexico Investors.
Ideal Candidate

Issuers of securities and New Mexico Investors.
Minimum Qualification

Associate degree in Business Administration, Public Administration, or Accounting and two (2) years of directly related job experience in the areas of office administration, budgeting, purchasing, finance, accounting, auditing, cash management, and/or contract management. Any combination of education from an accredited college or university in a related field and/or direct experience in this occupation totaling four (4) years may substitute for the required education and experience.
Employment Requirements

Must possess and maintain a valid Driver's License. Must possess and maintain a current Defensive Driving Course Certificate from the State of New Mexico or must pass and receive Defensive Driving Course Certification within six (6) months of date of hire as a condition of continued employment. Employment is subject to pre-employment criminal background check to include fingerprint checks and is conditional pending results.
Working Conditions

Work is performed in an office setting with exposure to Visual/Video Display Terminal (VDT) and extensive personal computer and phone usage. Some sitting, standing, bending and reaching may be required.
Supplemental Information

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Agency Contact Information: Benjamin Schrope, (505) 231-7467. Email

For information on Statutory Requirements for this position, click the Classification Description link on the job advertisement.

Bargaining Unit Position

This position is not covered by a collective bargaining agreement.