Securities Enforcement Auditor II

Springfield, IL

Full Time

Securities

Experienced



Office of the Illinois Secretary of State
Alexi Giannoulias

Job Title: Securities Enforcement Auditor II

Division: Audit/Compliance - Audit

Union: IFT

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

Salary: $4,280.00 to $8,310.00 monthly

Overview:

Performs difficult and complex 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 complex periodic or annual financial filings; advises the department of the results of these reviews and examinations and recommends action to be taken; provides assistance and advice to attorneys and investigators and testifies in administrative, civil and criminal proceedings; may direct and train a small staff.

Duties and Responsibilities:

Conducts complex financial and other reviews and examinations of registered dealers, investment advisors and other entities selling securities, mineral investment contracts, mineral deferred delivery contracts or rendering investment advice; reviews department 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 regulations adopted thereunder are current and in proper form; evaluates firm's sales practices and interviews firm personnel, as required; assists and trains lower level professionals.
Prepares detailed and complex reports of review or examination findings and recommends departmental action based on these findings; reviews reports of Securities Enforcement Auditor I's. Assists in the development and modification of the internal Securities Department Audit Program.
Reviews firm's periodic net capital computations 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 complex periodic financial statements filed with the Department to determine compliance with the Illinois Securities Law.
Provides assistance and advice to attorneys and investigators on difficult and complex matters; reviews complex financial and other records of investigative subjects; analyzes complex data and develops evidentiary conclusions; advises on accepted accounting standards and techniques; prepares detailed and complex written reports. May supervise technical staff engaged in such activities; helps prepare budgetary projections and proposals subsequent to expenditure and assessment of program needs.
Conducts investigations of fraudulent activities by interviewing victims, witnesses and investigative subjects; develops and analyzes information; prepares thorough, detailed and accurate written reports; makes recommendations for administrative or judicial action in complex cases.
Testifies in complex 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 complex reviews and examinations and to write reports on findings.
Requires the ability to examine books and records and competently investigate complex industry 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 working knowledge of the Illinois Securities Law of 1953 and its attendant Rules and Regulations.
Requires the ability to supervise and train subordinate technical staff.
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 advanced courses in accounting, business, bookkeeping, economics or related field AND two (2) years of professional experience in accounting or related field.

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.

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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