Baltimore, Maryland

Posted Date

July 2, 2024

Contact Information

Gina Mallory

The Attorney General is the chief legal officer of the State of Maryland. The Office of the Attorney General (OAG) has the general charge, supervision, and direction of the State’s legal business, acting as legal advisors and representatives of the major agencies, various boards, commissions, officials, and institutions of State Government.  The OAG also protects the public by civil enforcement of antitrust, civil rights, consumer protection, and securities laws and regulations and by the prosecution of organized crime, Medicaid fraud, environmental crimes, insurance fraud, state tax evasion, and other statutorily assigned matters. As Maryland’s 47th Attorney General, Anthony G. Brown leads the Office with a critical focus on equity, justice, and fairness.

This position will function as an Examiner for the Securities Division of the Office of the Attorney General.  The Examiner will work 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 deficiencies in registration applications and requesting additional information; drafting pleadings related to administrative actions involving registration; responding to inquiries from applicants, registrants, their counsel and the public, including providing application status reports; reviewing federal and state application forms and financial documents; using the Division computer systems and the Central Registration Depository (CRD), Investment Adviser Registration Depository (IARD) and Electronic Filing Depository (EFD) to review available information concerning applicants, registrants, and filings; reviewing and analyzing filings for franchise and securities offerings under the Maryland Franchise Law and Maryland Securities Act.

Other duties include consulting with Assistant Attorneys General in the Division on matters of policy and legal interpretation and assisting the Assistant Attorneys General with disciplinary and enforcement proceedings; supervising secretary and registration assistant in conjunction with other examiners and Assistant Attorneys General; being available to perform examiner functions in different units as the need arises.


Education: Bachelor’s degree from an accredited four-year college or university.

Experience: Three years of financial services work experience.

Preferred Qualifications:

  1. Background in law, accounting, finance, economics, investment advice, securities, financial planning, insurance, or law enforcement.
  2. Experience working with and/or reviewing the books and records of investment advisers, broker-dealers, or other financial professionals.

Application Process

Interested applicants should submit a resume, on-line application, and supplemental questionnaire through the Department of Budget and Management, at by July 11, 2024.

Under Department, select Office of the Attorney General and follow instruction to apply.