Financial Investigator

Job description

Description of Work

* This posting is a repost. Previous applicants are still under consideration and do not need to reapply.
* This position is a non-sworn Financial Investigator.
* Recruitment Range for this position is $48,051.00 - $58,511.00.

The Financial Investigator position is responsible for detection, investigation and enforcement activities relating to fraudulent and non-fraudulent violations of the North Carolina Securities Act, Investment Advisers Act and Commodities Act (N.C.G.S. Chapters 78A, 78C, & 78D). This position will conduct a wide variety of case investigations which have been initiated by the enforcement staff or identified and referred to the North Carolina Securities Division by individual consumers, other law enforcement agencies, state and federal securities regulatory agencies and securities and commodities industry self-regulatory agencies.

This position will complete written reports of investigation; conduct financial analysis and evaluation of accounting records and specialized transactional records employed by the securities industry. This position requires knowledge of and ability to use investigative procedures and techniques, including interviews, obtaining and evaluating documentary evidence, preservation of evidence, and testimonial presentation of evidence before judicial tribunals. The position will determine jurisdictional basis, conduct interviews, collect additional documentary evidence from public sources or through legal process, perform financial analyses, analyze collected data, report on investigative activities, participate in sanctioning of violations and conduct audits of securities brokerage firms, individual brokers and investment advisers in order to ensure compliance with the rules and regulations promulgated under the Securities Act and Investment Advisers Act.

Management Preferences:

Management prefer applicants with strong experience in the securities industry (brokerage or advisory compliance) or with extensive securities regulatory knowledge and familiarity.

Knowledge, Skills and Abilities / Competencies

Each applicant must possess the following skills and abilities and must be reflected in work experience:

* Ability to conduct routine and for-cause investigations of financial or business violations of regulatory requirements.
* Knowledge of investigative techniques and procedures, particularly those related to fraud and the preservation of documentary evidence.
* Ability to interpret and apply provisions of the Federal and North Carolina securities, investment adviser, and commodities laws and their related administrative regulations.
* Knowledge of the regulatory system and practices applicable to the securities industry.
* Knowledge of securities and commodities industries transactional accounting and operations procedures.
* Ability to clearly and concisely convey verbal or written communication.
* Experience in the securities industry (brokerage or advisory compliance) or with securities regulatory knowledge and familiarity.

Minimum Education and Experience Requirements

Bachelor's degree preferably in accounting, finance, business administration, or criminal justice with eighteen credit hours of accounting coursework or a bachelor's degree preferably in accounting, finance business administration, or criminal justice and two years of experience auditing or investigating white-collar, financial crimes; or equivalent combination of training and experience.

This position may require certification as a Law Enforcement Officer or Special Agent in accordance with the provisions of the North Carolina Criminal Justice Training and Standards Commission or the ability to achieve certification within one year of employment.

All degrees must be received from appropriately accredited institutions.

Supplemental and Contact Information

Applications are now being accepted on-line. Visit to search for jobs and to apply on-line. Agency point-of-contact is Talicia Morgan at telephone .

All relevant experience must be included on application to receive proper credit. "SEE ATTACHED RESUME" WILL RESULT IN AN INCOMPLETE APPLICATION. "TEXT RESUMES" WILL NOT BE EVALUATED AS CREDITABLE EXPERIENCE. To receive credit, all experience must be included in the work history sections. Any information omitted from the application but included in the resume will not be considered for qualifying credit. Please upload copy of college transcript (if applicable) or submit to address noted below by 5:00 p.m. on closing date to be considered. Persons eligible for veteran preference must submit a copy of Form DD-214. The Department of the Secretary of State uses the Merit-Based Recruitment and Selection Plan to fill positions subject to the State Personnel Act with the most qualified applicants. When a salary range is posted, the actual salary will be based on relevant competencies, knowledge, skills and abilities, internal equity and budgetary considerations pertinent to the advertised position. All post-high school degrees must be from appropriately accredited institutions.

The North Carolina Department of the Secretary of State is an Equal Opportunity Employer.

Mailing address is:

NC Dept of the Secretary of State

Attn: Human Resources

PO Box 29622

Raleigh, NC 27.