Salary : $66,830.40 - $103,500.80 Annually
Location : Des Moines - 50313 - Polk County, IA
Job Type: Full-time
Job Number: 27-00116
Agency: 216 Department of Insurance & Financial Services - Insurance
Opening Date: 07/16/2026
Closing Date: 7/31/2026 11:59 PM Central
LinkedIn Tag: #LI-POST
Point of Contact:
To Apply: For consideration - all applicants must submit an application through this site.

Job Description

This is a non-merit position.
Positions in this class are exempt from the screening and referral requirements of the Iowa Department of Administrative Services - Human Resources Enterprise
Candidates must follow the instructions in the "To Apply" section.

The Iowa Insurance Division is recruiting for a Securities Examiner 1 in the Market Regulation Bureau. This crucial position will oversee the regulation of investment advisors and securities broker-dealer offices. It is dedicated to consumer protection by investigating and enforcing Iowa insurance and financial security statutes and regulations against unlawful, incompetent, or dishonest market conduct.

Responsibilities include:
• Perform financial and market conduct examinations and data analysis related to various entities.
• Initiate and lead thorough investigations into potential violations of state securities laws and regulations.
• Conduct field and desk examinations of investment advisors and securities broker-dealer offices while maintaining compliance with FINRA and SEC standards.
• Review, analyze and investigate consumer complaints, reports and inquiries to determine if unfair trade practices or securities law violations have occurred.
• Perform accurate reporting and electronic record keeping for all assigned investigation and examination matters.
• Participate in and document interviews and discussions with company personnel, licensed entities or individuals and policyholders.
• Prepare and refer detailed fact-based investigative cases for administrative action for potential violations of securities laws.
• Maintain compliance with FINRA and SEC standards. Conduct risk-based insurance market conduct analysis and examinations consistent with the NAIC Market Regulation Handbook.

Qualified applicants will have recent experience in financial security investigations, insurance investigations, regulatory compliance, financial crimes investigation, or a related enforcement field and a strong understanding of securities, insurance and financial security principles, practices, and state regulatory requirements.
Must have the ability to analyze complex business conduct, interpret legal statutes, conduct effective interviews, and prepare detailed, well-supported investigative reports.

The Iowa Insurance Division offers a strong team culture and respect for work-life balance. We have a competitive total compensation package for all full-time employees, including:
• Iowa Public Employees Retirement System (IPERS)
• Retirement Investors Club (RIC)
• Health, Dental and Vision Insurance
• Vacation and Sick Leave
• Paid Holidays (9 days/year)
• Hybrid Work opportunities
Minimum Qualification Requirements
Applicants must meet at least one of the following minimum requirements to qualify for positions in this job classification:

1. Graduation from an accredited four-year college or university with a degree in insurance, accounting, actuarial science, risk management, finance, or business.
2. A total of four years of education and/or full-time experience, where thirty semester hours of accredited college or university course work in insurance, accounting, actuarial science, risk management, finance, or business equals one year of full-time experience in insurance industry examination, financial analysis, quality assurance, enterprise risk management, or corporate governance.

For additional information, please click on this
Additional Qualification Requirements
Travel, including overnight, out-of-state, and international travel, may be required for positions in this class. Employees must arrange transportation to and from assigned work areas.
01

Do you understand that the information provided on your application and resume must be truthful, honest, and accurate to the best of your knowledge?

Knowingly misrepresenting the facts when submitting any information related to an application, examination, certification, appeal, or any other facet of the selection process will result in your disqualification from this application and future employment with the state of Iowa.

• Yes - I understand and agree
• No

02

PLEASE READ CAREFULLY
Have you filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq?

• No - I have NOT filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq
• Yes - I HAVE filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq

03

Have you graduated from an accredited four-year college or university with a degree in insurance, accounting, actuarial science, risk management, finance, or business?

• Yes
• No

04

Do you have a total of four years of education and/or full-time experience, where thirty semester hours of accredited college or university course work in insurance, accounting, actuarial science, risk management, finance, or business equals one year of full-time experience in insurance industry examination, financial analysis, quality assurance, enterprise risk management, or corporate governance?

• I have the total of four years of education/experience required
• I do not have the total of four years of education/experience required

Required Question