Missouri Secretary of State
  • 03-Jan-2018 to 03-Feb-2018 (CST)
  • Jefferson City, MO, USA
  • $1,359.50-2,088.00 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. 

 

General Responsibilities:

Investigators manage a caseload of securities investigations involving fraud, unregistered offerings, dishonest/unethical practices or other violations of the Missouri Securities Act of 2003, which are assigned to them by the Director of Enforcement in the Securities Division. Investigator 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 produce a final investigative report to assist enforcement attorneys in resolving the complaints, investigations, and cases.  Investigators work closely 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 and criminal proceedings.  Investigators track developments in securities and financial industry regulation, and maintain an understanding of effective and customary investigative techniques. Investigators cooperate with other state and federal agencies in investigations. 

 

Skills:

An investigator is skilled at reviewing cases and fact patterns and identifying issues for investigation using investigative techniques. Successful investigators have a deep understanding of the financial services industry.  Investigators must have the ability to analyze, prepare, and present evidence gathered from interviews, documents, bank records and other items to create a strong enforcement case, which may involve complex financial industry products and issues. Investigators must be thorough, able to pay particular attention to detail, and task-oriented. In addition, investigators must be competent writers with the ability to communicate facts, theories and analysis effectively.  Investigators must be able to apply laws and rules to a specific situation. Investigators must be 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.  Investigators must have good organization skills and the ability to handle dozens of open cases simultaneously. Investigators must be able to work independently with limited direction.

 

Qualifications:

The Division prefers that an Investigator I have a bachelor's degree in business, criminal justice or a related program, or two years' experience in the securities industry or law enforcement.

 

The Division prefers that an Investigator II have a bachelor's degree in business, criminal justice, or a related program, and/or have five years of experience in the securities industry, law enforcement, with the Securities Division, or a combination thereof.

 

The Division prefers that an Investigator III have a bachelor's degree in business, criminal justice, or a related program, and/or have seven years of experience in the securities industry, law enforcement, with the Securities Division, or a combination thereof.

 

The Division prefers that an Investigator IV have a bachelor's degree in business, criminal justice, or a related program, and/or have ten years of experience in the securities industry, law enforcement, with the Securities Division, or a combination thereof.

Missouri Secretary of State
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