Job Description

Craving a work-life balance with potential remote options? Interested in securities regulation and finance? Want to play a key role in protecting Utah's investors while supporting capital markets? If yes, the Utah Department of Commerce, Division of Securities, wants you to apply!
As a Corporate Finance Specialist, you'll be responsible for reviewing and processing a variety of securities filings and ensuring compliance with Utah's laws and administrative rules. This is an opportunity to engage directly with legal and financial professionals, improve regulatory workflows, and contribute to a high-impact public mission.
After initial training, this position may be eligible to telework up to three days per week, depending on division needs. Key Responsibilities

• Willing to thoroughly learn securities exemptions to eventually become a subject matter expert.
• Review and process securities filings within statutory timelines (10-20 days depending on type).
• Confirm payments and verify completeness of all required documentation (e.g., manually signed forms, notarized U-2s).
• Handle Form D and Unit Investment Trust (UIT) filings via Electronic Filing Depository (EFD) and mutual fund filings via Blue Express.
• Track applications, exemptions, amendments, and renewals using Salesforce.
• Generate and submit monthly reports.
• Manage email and postal communications, including confirmation requests and deposit notices.
• Interpret and apply Utah Code Title 61 - Chapter 2, Administrative Rules R164, and SEC filing requirements.
• Identify and escalate compliance issues such as late filings, unlicensed broker-dealers, and improper compensation disclosures.
• Respond to inquiries from the public, issuers, and legal/financial representatives.

Tools & Systems Used

• Salesforce
• Blue Express
• EFD (Electronic Filing Depository)
• EDGAR
• Gmail

Minimum Qualifications

• 1+ years of customer service experience
• 1+ years of administrative or office support experience
• Proficiency in Microsoft Word and Excel or their Google equivalents (Docs and Sheets).

Preferred Qualifications

• Experience in finance, securities regulation, or legal processing
• Familiarity with state or federal financial regulations (SEC, FINRA, etc.)
• Strong written and verbal communication skills
• Proficiency with Google Workspace

Why You Should Join Our Team
You'll be part of a small, collaborative division that values professional development and attention to detail. You'll gain experience in regulatory systems and financial compliance, while benefiting from flexible work options and a strong public mission.
The State of Utah offers ( to view details):

• Excellent health, dental, and vision insurance options
• Tier I and Tier II retirement plans through Utah Retirement Systems (URS)
• Employer 401(k) contributions
• 12 paid holidays + generous vacation and sick leave accrual

• Paid training and career advancement pathways

Supplemental Information
Office Specialist II (#11022).
Please note that a position's eligibility for remote work is established by agency management and is subject to change at their discretion at any time and for any reason. * DHRM rules apply for promotions/transfers.

• Effective July 1, 2021, in-state work rules require all work to be performed while physically within the state's borders.
• As a condition of employment with the Department of Commerce, employees shall receive compensatory time off in lieu of payment in cash for all overtime worked under the Fair Labor Standards Act (FLSA).
• Risks found in the typical office setting, which is adequately lighted, heated, and ventilated, e.g., safe use of office equipment, avoiding trips and falls, observing fire regulations, etc.
• Typically, the employee may sit comfortably to perform the work; however, there may be some walking, standing, bending, carrying light items, driving an automobile, etc. Special physical demands are not required to perform the work.

Benefits:
The State of Utah offers eligible employees a variety of benefits including medical, dental, life and disability insurance, as well as a comprehensive leave program. Please click the following link for a detailed information page: . To access a Total Compensation Calculator in Excel format click .
FMLA General Notice:
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Skills Required