APPROXIMATE ANNUAL SALARY -
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 State and/or federal 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.
The incumbent will perform specialized investigative and audit functions of licensed broker-dealers, investment advisers and other specialized entities, draft reports of findings of such inspectors, and have basic knowledge of State Laws concerning Nevada Uniform Securities Act (NRS 90) and Nevada Commodities Code (NRS 91) as well as federal law concerning the regulation of securities. Travel up to 25% of the time may be required. *** THIS RECRUITMENT MAY CLOSE AT ANY TIME BASED ON THE AMOUNT OF APPLICATIONS RECEIVED. QUALIFIED APPLICANTS ARE ENCOURAGED TO APPLY AS SOON AS POSSIBLE. ***
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.
A valid driver's license is required at the time of appointment and as a condition of continuing employment.
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, including number of years, in compliance, monitoring or review of securities personnel, trading, compliance functions and customer account reviews.
2) Describe your experience, including number of years, in analyzing and interpreting regulations or statutes at a technical or professional level.
3) Describe your experience, including number of years, in compliance, monitoring or evaluation of securities firms/investment advisers and their compliance policies and regulations.
4) Describe your experience, including number of years, conducting audits, exams, or inspections and/or regulatory compliance.
5) Describe your experience in analyzing data to provide factual findings and/or recommendations. Please give at least one example of the type of data analyzed and the resulting recommendation or finding.