Chief Compliance/Audit Investigator

Announcement Number: 43186 Open to all qualified persons. Posted 07/28/2023 Recruiter:

JACQUELYN COX

Phone: (775)684-4780

Email: [email protected] Applications accepted until recruitment needs are satisfied

• Qualified individuals are encouraged to apply immediately. Lists of eligible candidates will be established and hiring may occur early in the recruiting process. Recruitment will close without notice when a sufficient number of applications are received or a hiring decision has been made.

The Position

Compliance/Audit Investigators perform investigative and auditing functions to monitor compliance and detect violations of federal and/or State laws or regulations pertaining to a specific program or regulatory area such as securities, Medicaid, mortgage lending, or workers' compensation. Investigators allocated to this series do not require P.O.S.T. certification.

Incumbents function as first-line supervisors who train, supervise and evaluate the performance of assigned staff; assign and review work; and initiate disciplinary action.

Compliance/Audit Investigators perform investigative and auditing functions to monitor compliance and detect violations of federal and/or State laws or regulations pertaining to a specific program or regulatory area such as securities, Medicaid, mortgage lending, or workers' compensation. Investigators allocated to this series do not require P.O.S.T. certification. The Chief Compliance/Audit Investigator is responsible for overseeing the civil audit/examinations for Securities Division licensees within the State of Nevada. This includes examinations for Nevada-based Investment Advisor and Broker Dealer firms. The State of Nevada is committed to Equal Employment Opportunity/Affirmative Action in recruitment of its employees and does not discriminate on the basis of race, color, national origin, religion or belief, age, disability, sex, sexual orientation, gender identity or expression, pregnancy, domestic partnership, genetic information (GINA), or compensation and/or wages. *** THIS RECRUITMENT MAY CLOSE WITHOUT FURTHER NOTICE DEPENDING ON THE NUMBER OF APPLICATIONS RECEIVED. APPLICANTS ARE ENCOURAGED TO APPLY AS SOON AS POSSIBLE***

To see full Class Specifications visit: http://hr.nv.gov/Resources/ClassSpecs/Class_Specifications-11_0/

To Qualify

In order to be qualified, you must meet the following requirements:

Education and Experience (Minimum Qualifications) Bachelor's degree from an accredited college or university in business or public administration, business management, accounting, or related field and four years of professional experience in an investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanction penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR graduation from high school or equivalent education and six years of experience, four of which were in a professional investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanctions, penalties or changes in management practices, policy and procedure; or recommending criminal prosecution; OR two years of experience as a Compliance/Audit Investigator III in Nevada State service; OR an equivalent combination of education and experience as described above. Special Requirements A pre-employment criminal history check and fingerprinting are required. Persons offered employment in this position will be required to pay for these items. A State of Nevada/FBI background check will be required of the selected applicant. A valid driver's license is required at the time of appointment and as a condition of continuing employment. Skills Required Supervisory Experience The Examination Application Evaluation Exam The exam will consist of an application evaluation. It is essential that applications include detailed information with time frames regarding education and experience. The most qualified applicants will be contacted by the hiring agency for interview. The hiring agency may require specific skills related testing as part of the interviewing process.

The following additional questions are part of this Recruitment

• Describe your experience, including number of years, in the supervision of the following: 1) compliance investigators, 2) investigative staff.
• Do you have a Master's degree (or higher) in criminal justice, police science, business administration, public administration, law or psychology?
• Describe your experience providing testimony in administrative hearings, courtrooms, or similar environments.
• Describe your professional level investigatory experience, including number of years, in the following areas: 1) regulatory agency; 2) criminal justice agency; 3) as a Category I/II or equivalent POST certified peace officer or private investigator.

INFORMATIONAL LINKS For more information about state employment, visit the following:

Division of Human Resource Management: http://hr.nv.gov

Public Employees Retirement System: http://www.nvpers.org

Public Employees Benefits Program: http://pebp.state.nv.us

More Benefits Information: http://nvjobs.nv.gov/Applicants/EB

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Email Direct Inquiries or Correspondence to: Division of Human Resource Management

Northern Nevada

209 East Musser Street,

Room 101

Carson City, Nevada 89701-4204