APPROXIMATE ANNUAL SALARY -
$46,019.52 to
$68,361.12
PAY GRADE: 35
For more information on benefit and retirement programs, please see the sections below.
In order to receive consideration, applicants must indicate their availability for any work type, travel, and location requirements listed.
Compliance/Audit Investigators perform investigative and auditing functions to monitor compliance and detect violations of federal and/or State laws or regulations pertaining to a specific program or regulatory area such as securities, Medicaid, mortgage lending, or workers' compensation. Investigators allocated to this series do not require P.O.S.T. certification.
Incumbents possess a degree of knowledge and proficiency sufficient to perform advanced-level work and may provide work direction and training to others.
Position is in the Las Vegas office of the Secretary of State, Securities Division. Position is for an experienced investigator with knowledge of securities instruments and functions of broker dealers and investment advisers. Position will perform specialized investigative and audit functions of licensed broker-dealers, investment advisers and other specialized entities. Incumbent will review and conduct investigations on formal complaints to make determination regarding violations of NRS Chapters 90 and 91. Incumbent will draft administrative complaints and orders regarding alleged violations of law based on investigation or inspection. Incumbent must have basic knowledge of State laws concerning Nevada Uniform Securities Act (NRS 90) and Nevada Commoditiies Code (NRS 91) as well as federal law concerning the regulation of securities.
In order to be qualified, you must meet the following requirements:
Education and Experience (Minimum Qualifications)
Bachelor's degree from an accredited college or university in business or public administration, business management, accounting, or related field and three years of professional experience in an investigative, auditing or program-related position which required the application of state and/or federal laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanctions or penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR graduation from high school or equivalent education and five years of experience, three of which were in a professional investigative, auditing or professional program-related position which required the application of state and/or federal laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanctions or penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR an equivalent combination of education and experience; OR one year of experience as a Compliance/Audit Investigator II in Nevada State service.
Special Requirements
A pre-employment criminal history check and fingerprinting are required. Persons offered employment in this position will be required to pay for these items.
Some positions may be required to submit to a background investigation.
Pursuant to NRS 284.4066, some positions in this class have been identified as affecting public safety. Persons offered employment in this class, in these positions, must first submit to a pre-employment screening test for controlled substances.
A valid driver's license is required at the time of appointment and as a condition of continuing employment.
Additional Position Criteria
This position requires applicants to have successfully passed a Securities Examination (e.g. Series 7, 63 others).
25% travel Requirement
The Examination
Application Evaluation Exam
The exam will consist of an application evaluation. It is essential that applications include detailed information with time frames regarding education and experience. The most qualified applicants will be contacted by the hiring agency for interview. The hiring agency may require specific skills related testing as part of the interviewing process.
The following additional questions are part of this Recruitment
1) Describe your experience conducting securities investigations and compliance examinations and/or audits.
