Securities Enforcement Auditor I

Chicago, IL
Full Time

Office of the Illinois Secretary of State

Alexi Giannoulias

Job Title:    Securities Enforcement Auditor I

Division:     Audit/Compliance - Audit

Union:        IFT

Location:    69 W Washington St, Chicago, IL – Cook County

Salary:        $4,140.00 to $7,410.00 monthly



Performs financial and other reviews and regulatory compliance examinations of registered securities dealers, investment advisors and other entities selling securities, mineral investment contracts, mineral deferred delivery contracts or rendering investment advice; reviews periodic or annual financial filings; advises the department of the results of these reviews and examinations and recommends action to be taken; assists Securities Enforcement Auditor II, and provides advice to attorneys and investigators, and testifies in administrative, civil and criminal proceedings.

Duties and Responsibilities:

  • Conducts financial reviews and regulatory compliance examinations of registered securities dealers, investment advisors and other entities selling securities, mineral investment contracts, mineral deferred delivery contracts or renders investment advice; reviews records to familiarize self with firm being reviewed or examined; reviews firm's books and records to determine whether all records required by the Illinois Securities Law or any regulations adopted thereunder are current and in proper form; evaluates firm's sales practices and interviews firm personnel as required.
  • Prepares reports of review or examination findings and recommends departmental action based on these findings.
  • Reviews firm's periodic net capital calculations to determine whether proper methodology was employed in making the computation and whether the firm is complying with the net capital requirements, if required; reviews firm's periodic financial statements filed with the Department to determine compliance with the Illinois Securities Law; advises the firm of the results of the review.
  • Assists higher level staff, attorneys and investigators; reviews financial records and other documents of investigative subjects; analyzes data and develops evidentiary conclusions; advises on accepted accounting standards and techniques; prepares written reports.
  • Conducts investigations of fraudulent activities by interviewing victims, witnesses and investigative subjects; develops and analyzes information; prepares thorough and accurate written reports; makes recommendations for administrative or judicial action in cases.
  • Testifies in administrative, civil and criminal proceedings.
  • Performs other related duties as required or assigned.

Specific Skills:

  • Requires working knowledge of the principles and concepts of accounting.
  • Requires ability to conduct reviews and examinations and to write reports on findings.
  • Requires ability to examine books and records and to assist in investigations of industry sales practices.
  • Requires ability to express ideas clearly and accurately, both orally and in writing.
  • Requires possession of a valid Illinois driver's license.
  • Requires proof of automobile liability insurance as required by State law.
  • Requires willingness to travel extensively.

Education and Work Experience:

Requires knowledge, skill and mental development equivalent to the completion of four (4) years of college, with courses in accounting, business, bookkeeping, economics or related field AND one (1) year of related professional experience.

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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