Securities Enforcement Auditor II

Office of the Illinois Secretary of State
Alexi Giannoulias

• 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 advise; 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 Illinois Securities Law or regulations adopted there under are current and in proper form; evaluates firm's sales practices and interviews firm's personnel, as required; supervises, assists and trains Auditor I’s and trainees; evaluates employee performance.
• Prepares detailed and complex reports of review or examination findings and recommends departmental action based on these findings; reviews and supervises reports of Securities Enforcement Auditor I's. Assists in the development of and modification of the internal Securities Department Audit Program. 
• 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. Supervises audit staff engaged in the above 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. Travels extensively for audits, investigations and training often overnight and on short notice statewide and out-of-state.
• 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. 
• Testifies in complex administrative, civil and criminal proceedings.
• Performs other related duties as required or assigned.

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