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Commonwealth of Pennsylvania |
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POSITION DESCRIPTION FOR JOB POSTING |
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Position Number: 50418178 |
Description Activated On: 7/11/2023 9:19:19 AM |
Position Purpose: Describe the primary purpose of this position and how it contributes to the organization’s objectives. Example: Provides clerical and office support within the Division to ensure its operations are conducted efficiently and effectively. This position is responsible for performing a variety of assignments in the review of filings for registration, exemption, or notice filings of securities to be sold in Pennsylvania to determine compliance with the statutes, regulations, statements of policy and guidelines. |
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Description of Duties: Describe in detail the duties and responsibilities assigned to this position. Descriptions should include the major end result of the task. Example: Types correspondence, reports, and other various documents from handwritten drafts for review and signature of the supervisor. 50% - Reviews and analyzes registration, exemption from registration of securities, or notice filings to determine if the filing is complete and accurate, filed in accordance with the provisions of the law, prior violations have been fully addressed, all technical and legal requirements are met, full disclosure of all material facts is made to the investor, and it contains no misleading statements or would otherwise tend to work a fraud on the investor. 15% - Prepares Comment letters detailing the areas of non-compliance that were found during the review of the filing. 5% - Assists in preparing recommendations for action by the Department with respect to registrations, exemptions or notice filings and prepares supporting documentation to substantiate issuances or orders denying or revoking an exemption or denying, suspending or revoking a registration. 5% - Confers independently or participates in conferences with issuer or their representatives to explain requirements, rules and provisions and to seek compliance and resolve problems arising from review of registration, exemptions or notice filings. 5% - Responds to public inquiries to explain statutes, regulations, statements of policy, and guidelines and confers with an administrative superior when confronted with technical issues. 5% - Contacts other state securities agencies to obtain factual information, general policy positions, or current status of a particular application for registration or exemption. 5% - Responds to inquiries pertaining to various filing requirements with the Department. 5% - Participates in and represents the Corporation Finance Office at any assigned Department meetings (e.g. workforce planning, website content, changes in processes). 5% - Performs other related duties as required. |
Decision Making: Describe the types of decisions made by the incumbent of this position and the types of decisions referred to others. Identify the problems or issues that can be resolved at the level of this position, versus those that must be referred to the supervisor. Example: In response to a customer inquiry, this work involves researching the status of an activity and preparing a formal response for the supervisor’s signature. Work at this level involves or may involve receiving technical assistance and guidance from a more senior analyst. Work at this level may also include assisting or participating with higher level analysts in preparing and developing commentary or deficiency letters, or staff recommendations for issuance of staff no-action letters or discretionary action. Supervision is received from an administrative superior through conferences, guidance, instructions, written manuals, which include policy, procedures and guidelines and review of completed assignments. Prepares recommendations with respect to registrations and exemptions for formal response for the supervisor's signature. |
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Requirements Profile: Identify any specific experience or requirements, such as a licensure, registration, or certification, which may be necessary to perform the functions of the position. Position-specific requirements should be consistent with a Special Requirement or other criteria identified in the classification specification covering this position. Example: Experience using Java; Professional Engineer License Experience: Licenses, registrations, or certifications: 1. N/A 2. N/A 3. N/A 4. N/A 5. N/A 6. N/A |
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Essential Functions: Provide a list of essential functions for this position. Example: Transports boxes weighing up to 60 pounds.
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