Missouri Secretary of State
  • 18-Sep-2017 to 18-Nov-2017 (CST)
  • Jefferson City, MO, USA
  • $1,538.50-1,667.50 Semi-monthly
  • Salary
  • Full Time

Definition:     An Investigator conducts investigations into suspected violations of Missouri securities laws related to fraud and unethical business practices in the offer and sale of securities and investment advice.

 

General Job Functions and General Responsibilities:  Investigators manage a caseload of securities investigations assigned to them by the Director of Enforcement and prepare the cases for ultimate adjudication in administrative or civil proceedings.  Investigators' duties include locating, interviewing, and preparing statements of victims, witnesses, and suspects. Investigators collect evidence by issuing target letters, drafting subpoenas, and reviewing documents and financial records.  Investigators trace funds through banking systems and analyze complex financial transactions.  Investigators maintain organized investigative files and prepare written updates and investigation summaries.  Investigators work closely and collaborate with the Division's enforcement attorneys on investigative strategies.  Investigators assist in drafting petitions and motions, participate in discovery processes including depositions, and testify in administrative, civil, or criminal proceedings.  Investigators track developments in securities and financial industry regulation, and maintain an understanding of effective and customary investigative techniques. Investigators may assist in the preparation of referral reports to other agencies.

Knowledge, Skills, and Abilities:

  •  Thorough and detail oriented;
  • Works independently with minimal direction;
  • Skilled at reviewing cases and fact patterns and identifying issues for investigation using investigative techniques;
  • Mastered the skills necessary to conduct effective victim/witness/respondent interviews, including:
    1. determining the appropriate objective(s) of the interview;
    2. identifying information necessary to support the objectives and facts of the case;
    3. designing questions to solicit the needed information;
    4. evaluating responses received; and
    5. accurately reporting the salient points of the interview.
  • Concisely analyzes, prepares, and presents evidence gathered from interviews, documents, bank records and other items to create a strong enforcement case;
  • Exemplary writer with the ability to effectively and concisely communicate facts, theories and analyses, and be able to apply applicable laws and rules to a specific situation;
  • Completes quality drafts of investigative summaries with limited direction or supervision;
  • Submits drafts of investigative summaries to another Investigator for review/revision/edit prior to submission to the Director of Enforcement;
  • Possess excellent organizational skills and the ability to efficiently and effectively handle multiple complex open cases simultaneously;
  • Objective, discreet, and able to communicate appropriately and maintain effective relationships with Division staff, outside agencies, law enforcement officials, victims, witnesses, targets and the general public;
  • Participates in monthly and periodic meetings with the Director of Enforcement concerning status of all open investigations to which Investigator is assigned; and
  • Participates in periodic refresher training programs conducted by the Director of Enforcement.

 

Qualifications: The applicant should have a bachelor's degree in business, financial planning, or a related program and two (2) years' experience in the securities and/or regulatory field.  

Missouri Secretary of State
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