Securities Senior Investigator

Securities Senior Investigator

Division : Enforcement

Union : IFT

Location : 115 S LaSalle St, Chicago, IL Cook County

Salary : Range from $4,754 to $9,116 monthly commensurate with experience

Benefits : https : / / cms.illinois.gov / benefits / stateemployee.html

Overview

Conducts complex investigations of possible violations of the Illinois Securities Law. Advises, gives counsel and functional direction to lower-level investigative staff in the furtherance of securities investigations; assists in the preparation of cases for hearing; provides oversight of investigatory performance requiring, the use of discretion and independent judgment, concerning staff assignments. Requires occasional overnight travel.

Duties and Responsibilities

• Travels statewide to conduct complex investigations of possible violations of the Illinois Securities Law, conducts interviews, takes depositions, analyzes documentary evidence, stipulations and orders in conjunction with staff attorneys; makes recommendations as to the disposition of cases
• Provides oversight of staff activities within established policies; implements operations procedures and directs workflow; reviews incoming work and distributes daily work assignments to investigators; does follow-up of work assigned to ensure assignments are completed accurately and within specified timeframes. Assists in the preparation of annual evaluations of securities investigators under direction; approves leave slips.
• May testify in administrative, civil or criminal proceedings as an expert witness for the Department.
• Reviews various federal and state interpretations, periodicals and other related materials to stay abreast of procedures and practices. Directs subordinate staff's activities regarding the Department's Internet surveillance program.
• May participate in financial reviews and compliance examinations of registered entities.
• Performs other duties as required or assigned.

Education and Experience

Requires knowledge, skill and mental development equivalent to completion of four years of college with courses in accounting, law enforcement, and business administration or pre-law and two years of experience in law enforcement or regulatory investigations.

Knowledge, Skills and Abilities

Application Process

Equal Employment Opportunity Employer. Applicants must be lawfully authorized to work in the United States. Applicants are considered for all positions without regard to race, color, religion, sex, national origin, sexual orientation, age, marital or veteran status, or the presence of a non-job-related medical condition or disability.