Securities Enforcement Auditor I

Office of the Illinois Secretary of State
Alexi Giannoulias

• Conducts financial and other reviews and examinations of registered dealers, investment advisers, and other entities selling securities, mineral investment contracts, mineral deferred delivery contracts or rendering investment advice; reviews department records to become familiar with the 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 to ascertain whether any violations of the IL Securities Law or Rules and Regulations have occurred.
• Conducts investigations of fraudulent activities by interviewing victims, witnesses and investigative subjects; develops and analyzes information for case reports; prepares thorough and accurate written reports to the Securities Enforcement Auditor II; makes recommendations for administrative or judicial action in cases to the Securities Enforcement Auditor II, Attorneys and/or Investigators.
• Prepares reports of review or examination findings and recommends departmental action to the Securities Enforcement Auditor II based on these findings, using effective automation techniques.
• Reviews firm's periodic new capital computations to determine whether proper methodology was employed in making the computation and whether the firm is complying with the new capital requirements, if required; reviews firm's periodic financial statement filed with the Department to determine compliance with the Illinois Securities Law.
• Assists Auditors, attorneys and investigators by reviewing financial and other records of investigative subjects, analyzes data and develops evidentiary conclusions and prepares accurate written reports.
• Testifies in administrative, civil and criminal proceedings for cases.
• Performs other duties as required or assigned.

• 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 possession of a valid Illinois Driver’s License
• Requires ability to lift/carry up to 25 lbs.
• Extensive travel statewide is required.

• 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).  

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