Chief - Securities Audit & Compliance Division (Executive V)

Chicago, IL
Full Time
Securities
Experienced

Office of the Illinois Secretary of State

Alexi Giannoulias

    

Job Title:     Executive V - Securities
Division:      Audit & Compliance
Union:         IFT
Location:     69 W Washington St, Chicago, IL – Cook County

Salary:         $125,000.00 annually, commensurate with experience
          
Overview: 
Exercises significant administrative responsibilities in planning, organizing, directing and evaluating the operation of the Audit and Compliance Division on a statewide basis.  Conducts complex financial audits and regulatory compliance examinations of registered securities dealers and investment advisers; exercises responsibility for personnel management requiring the use of directions and independent judgment relative to subordinate personnel; formulates and implements major policy decisions for the Audit and Compliance Division programs; provides advice and consultation on technical questions and problems as they affect the overall operations of the Department.

Duties and Responsibilities:

  • Through supervisory staff, plans, organizes, directs and evaluates the activities of the Securities Department Audit Division.  Determines, establishes and implements operational procedures and work flow; develops policies and determines needed program changes.  Plans and directs complex financial and other reviews and examinations of registered dealers, investment advisers and other entities selling securities, or rendering investment advice.
  • Provides technical and professional assistance and/or guidance in the handling of complex and unusual assignments relating to the appropriate interpretation of the Department’s rules, policies and procedures governing the Audit and Compliance programs, which may include field examinations, inspections, and financial reviews.  Assists the enforcement staff in cases involving registered entities by conducting cause examinations and preparing documentation of violations.
  • Coordinates the preparations of all Department rules and procedures necessary for implementation of statutory provisions.  Coordinates the preparation of any legislative revisions affecting the Audit and Compliance Division necessary to promote the efficient and effective operation of the Department.
  • Supervises all office routines of the Audit and Compliance Division including preparation of reports, correspondence and related activities.  Submits to administration budgetary expenditures projections for fiscal year and equipment needs.
  • Performs other duties as required or assigned.

Specific Skills:
  • Requires thorough knowledge of the principles and practices of public and business administration.
  • Requires thorough knowledge of the functions and organization of State government.
  • Requires extensive knowledge of the principles of business accounting, program budgeting, personnel management and statistics.
  • Requires working knowledge of data processing business applications.
  • Requires ability to develop and administer a complex or multiple statewide programs.
  • Requires ability to analyze administrative problems and adopt an effective course of action.
  • Requires ability to develop, install and evaluate new and revised methods, procedures and performance standards.
  • Requires ability to exercise judgment and discretion in the formulation, implementation, and interpretation of departmental policies and procedures.
  • Requires ability to estimate and budget for future needs and cost for personnel, space, equipment, supplies and services.
  • Requires ability to develop and maintain cooperative working relationships with other administrative, managerial, supervisory or professional staff.
  • Requires possession of a valid Illinois driver’s license and a willingness to travel in the performance of assigned duties.

Education and Work Experience:

Requires knowledge, skill and mental development equivalent to the completion of four years of college, preferably with courses in business or public administration AND five years of managerial experience in a public or business organization.

Application Process: 
  • Please visit https://ilsos.applytojob.gov/apply to apply by completing the online application; you may also upload a resume or other attachments as needed.
  • Preference will be given to Illinois residents in the hiring and selection process, in accordance with the Illinois Secretary of State Merit Employment Code.
  • Questions regarding this posting or Illinois Secretary of State employment practices may be directed to Job Counselors at our Personnel offices in Chicago (312-793-5515) or Springfield (217-782-4783).  

 
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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