Securities Senior Investigator

Springfield, IL
Full Time


Office of the Illinois Secretary of State

Alexi Giannoulias




Job Title:    Securities Senior Investigator

Division:     Enforcement - Investigations

Union:        IFT

Location:    421 E Capitol Ave, Springfield, IL – Sangamon County

Salary:        $3,635.00 to $7,724.00 monthly



Conducts complex investigations of possible violations of the Illinois Securities Law; provides advice, counsel and functional direction to lower-level investigative staff in the conduct of complex securities investigations; develops and maintains liaison with enforcement attorneys, state's attorneys, the Attorney General's Office, the Securities Exchange Commission and other interested or affected parties; assists in the preparation of cases for hearing.


Duties and Responsibilities:

  • Conducts complex investigations of possible violations of the anti-fraud provisions of the Illinois Securities Law including a variety of fraudulent activities such as misrepresentation of ownership of investments requiring extensive investigation, interviewing of victims, witnesses and investigative subjects; conducts investigations of possible violations of the securities, dealer, salesperson and investment advisor registration requirements of the Securities Law.
  • Provides advice, counsel and functional direction to lower-level investigative staff as team leader especially in complex investigation cases; assists in training lower-level investigative staff.
  • Reviews and analyzes findings of investigations (interviews, record searches, etc.) and makes recommendations as to disposition of cases; prepares comprehensive and detailed investigative reports on complex cases; participates with enforcement attorneys in the determination for departmental administrative or judicial action and in the preparation of cases for hearing.
  • Testifies in administrative, civil and criminal proceedings as expert witness for the department.
  • Promotes and maintains effective liaison with local, state and federal law enforcement and prosecutorial officials and other state and federal regulatory agencies.
  • Performs other duties as required or assigned.

Specific Skills:

  • Requires working knowledge of investigatory methods and techniques.
  • Requires thorough knowledge of the Illinois Securities Law as it applies to enforcement and anti-fraud provisions.
  • Requires ability to exercise discretion and independent judgment in analyzing and evaluating information and resolving conflicts in facts and evidence.
  • Requires ability to compile and prepare comprehensive investigative reports, presenting evidence in a clear, concise manner and to make appropriate recommendations concerning disposition of the investigation.
  • Requires ability to plan and conduct complex investigations of a complex and/or highly sensitive nature.
  • Requires ability and willingness to travel extensively and frequently and to work irregular hours.
  • Requires ability to provide clear oral and written instruction to lower-level investigative staff.
  • Requires ability to maintain satisfactory working relationships with fellow employees, law enforcement officials and the public.
  • Requires possession of a valid Illinois driver’s license.

Education and Work Experience:

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

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.


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