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Securities Investigator

Do you have securities experience? Do you have Investigative experience? Maybe both? The Division of Securities within the State of Utah Department of Commerce has a Securities Investigator position open now. You will conduct investigations into allegations of individuals and businesses involved in securities fraud violations in the State of Utah.   

Job Title: Securities Investigator
Closing Date/Time: Mon. 01/28/19 11:59 PM Mountain Time
Salary: $18.71 - $24.50 Hourly
Job Type: Full Time
Location: Salt Lake County, Utah
Agency: 670 Department of Commerce
Schedule Code: This position is career service exempt (schedule TL - Time Limited) that may convert to career service (schedule B) in the future.    

PRINCIPAL DUTIES
  • Conducting investigations into allegations of securities fraud.
  • Ensuring compliance with applicable federal and/or state securities laws.
  • Receiving, researching, and responding to incoming questions or complaints; providing information, explaining policy and procedures.
  • Maintaining detailed inspection or investigation records, preparing reports, and attending to other related administrative requirements.
  • Giving testimony and /or recommendations in court cases and/or hearings.

THE IDEAL CANDIDATE
Our ideal candidate will have:
  • Securities industry experience (brokerage firm background).
  • Investigative experience; including undercover work and interviewing skills.
  • Knowledge in accounting practices.
  • The ability to comfortably testify in court and present for education seminars.
  • A willingness to take direction.
  • The ability to work independently and collaboratively as needed.

PREFERENCES
  • Strong preference given for a licensed, practicing attorney.  
  • Bachelor's degree in accounting.
  • FINRA Licenses.

SUPPLEMENTAL INFORMATION:
  • Full salary range for Investigator II, non-post position is $17.89-$30.41 but the maximum offer, based on exceptional qualifications and experience, will be $24.50 per hour (subject to DHRM Promotion rules). Securities Investigator is the working title. The job title is Investigator II, non-post (job ID: 83151).
  • Valid driver license required to drive a motor vehicle on a highway in this state per UCA53-3-202(1)(a).
  • As a condition of employment with the Department of Commerce, employees shall receive compensatory time off in lieu of payment in cash for all overtime worked under the Fair Labor Standards Act (FLSA).
  • Work requires some physical exertion such as long periods of standing, walking over rough terrain or rocky surfaces; recurring bending, crouching, stooping, stretching, reaching, lifting moderately heavy items (up to 50 lbs.) or similar activities. 
  • Risks which require the use of special safety precautions and/or equipment, e.g. working with contagious diseases or hazardous chemicals, etc.