APPROXIMATE ANNUAL SALARY -
$55,958.40 to
$83,394.72
PAY GRADE: 37
The salary range indicated in this announcement is based on the Employee/Employer retirement compensation schedule. An employer-only option is available at a reduced salary range. Generally, salaries start at the lowest level of a step 1 and increase with each year of service to the highest level of a step 10.
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 function as first-line supervisors who train, supervise and evaluate the performance of assigned staff; assign and review work; and initiate disciplinary action.
The position is responsible for overseeing the civil audit/examinations for Securities Division licensees within the State of Nevada. This includes examinations for Nevada-based Investment Advisor and Broker Dealer firms. The position also oversees administrative investigations of non-registered persons or entities to determine compliance with the Nevada Securities Act. The applicant should understand offering documents and prospectuses, financial reporting and analysis, and state/federal registration requirements. The applicant must have strong writing skills and will be required to review examiners' work product. The State of Nevada is committed to Equal Employment Opportunity/Affirmative Action in recruitment of its employees and does not discriminate on the basis of race, color, national origin, religion or belief, age, disability, sex, sexual orientation, gender identity or expression, pregnancy, domestic partnership, genetic information (GINA), or compensation and/or wages.
***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 four years of professional experience in an investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanction penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR graduation from high school or equivalent education and six years of experience, four of which were in a professional investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanctions, penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR two years of experience as a Compliance/Audit Investigator III in Nevada State service; OR an equivalent combination of education and experience as described above.
Special Requirements
A State of Nevada/FBI background check will be required of the selected applicant.
The Examination
CHIEF COMPLIANCE/AUDIT INVESTIGATOR Training and Experience Exam
The exam will consist of a rating of training and experience weighted 100%. It is essential that applications include extensively detailed information with time frames regarding education and experience. Your score will be based on the information provided in your application and your responses to the questions asked below. If there are several parts to a question, answer each part separately. Along with each answer, identify the position(s) and/or training (as described in your application) where you gained the background asked for in the question. Absence of experience/training asked for in a question is not necessarily disqualifying. Failure to answer the questions will result in a score based solely on the application.
Qualified applicants will be contacted by the hiring agency for interview.
1) Describe your professional level investigatory experience, including number of years, in the following areas: 1) regulatory agency; 2) criminal justice agency; 3) as a Category I/II or equivalent POST certified peace officer or private investigator.
2) Describe your experience, including number of years, in the supervision of the following: 1) compliance investigators, 2) investigative staff.
3) Describe your experience providing testimony in administrative hearings, courtrooms, or similar environments.
4) Do you have a Masters degree (or higher) in criminal justice, police science, business administration, public administration, law or psychology?
The following additional questions are part of this Recruitment
1) Describe any experience with the securities industry including where the experience was gained.
Help us reach qualified candidates! Refer a friend by clicking here: Email
Direct Inquiries or Correspondence to:
Division of Human Resource Management Northern Nevada 515 East Musser Street, First Floor Carson City, Nevada 89701-4204
TDD for the Hearing Impaired (800) 326-6868
Division of Human Resource Management Southern Nevada 7251 Amigo St, Suite 120 Las Vegas, NV 89119
TDD for the Hearing Impaired (800) 326-6868
The State of Nevada is an equal opportunity employer dedicated to building diverse, inclusive, and innovative work environments with employees who reflect our communities and enthusiastically serve them. All applicants are considered without regard to race, color, national origin, religion or belief, age, disability, sex, sexual orientation, gender identity or expression, pregnancy, domestic partnership, genetic information (GINA), or compensation and/or wages.
