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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.
This position is for the Department of Business and Industry, Division of Mortgage Lending for the Investigations Unit located at 3300 West Sahara Avenue, Suite # 285, Las Vegas, NV 89102.
This position will dedicate its time to planning, organizing, and conducting a wide range of investigations, related to alleged or suspected offenses in violation of NAC and NRS, and other applicable State and Federal statutes and regulations. Investigative processes include research concerning individuals, companies develop facts to support an enforcement process; identifying and interviewing potential subjects and third-party witnesses and securing evidence from outside sources; and collecting and analyzing a wide variety of documents produced to determine the existence, nature, and extent of violations. This position will also dedicate time conducting comprehensive reviews of licensees including mortgage companies, mortgage loan originators, escrow agencies and agents, covered service providers, and mortgage servicers.
The review includes a selected sampling of loan files for completeness, accuracy, compliance with applicable Federal and State laws, and fraudulent practices; monthly activity reports; mortgage call reports; licensing information and applicant profiles; financial statements; advertisements for compliance with applicable laws and deceptive practices; complaints, office space and signage; policies and procedures for supervision of mortgage companies and mortgage agents; adequacy of office management and internal controls; safeguarding of client confidential information; and general books and records. The incumbent will perform specialized investigative and audit functions of licensed mortgage companies, mortgage agents, and other specialized entities, and will draft reports on the findings of such audits/investigations. Lastly, this position will review, process, and conduct necessary compliance checks related to applications submitted for the licensure of a company, branch, individual, registration, or exemption under 645A, 645B, 645F, 598 or others as assigned to ensure applicability and that they have met the requirements as outlined in NRS/NAC. In the performance of compliance review, the position may be asked to handle licensing application processing and reviews.
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. *** THIS RECRUITMENT MAY CLOSE WITHOUT FURTHER NOTICE DEPENDING ON THE NUMBER OF APPLICATIONS RECEIVED. APPLICANTS ARE ENCOURAGED TO APPLY AS SOON AS POSSIBLE***
In order to be qualified, you must meet the following requirements:
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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 federal and/or State 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 federal and/or State 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 one year of experience as a Compliance/Audit Investigator II in Nevada State service; OR an equivalent combination of education and experience as described above. |
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A pre-employment criminal history check and fingerprinting are required. Persons offered employment in this position will be required to pay for these items. |
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A valid driver's license is required at the time of appointment and as a condition of continuing employment. |
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| 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. |
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1) Describe your experience in researching, analyzing and interpreting statutes and regulations, business practices and procedures in the performance of an investigation.
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2) Describe your experience in conducting investigations related to mortgage lending and financial/mortgage fraud.
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3) Describe your experience in preparing investigative reports, collecting and maintaining evidence and interviewing witnesses to advance an investigation for enforcement.
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4) Describe your experience in preparing for administrative hearings and/or trials.
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