COMPLIANCE INVESTIGATOR 2

State-of-Nevad; Carson City (NV); On-site; USD 65,000 - 95,000; Full time

Job summary

Nevada Department of Business and Industry in Carson City seeks a Compliance Investigator 2 to conduct thorough investigations into consumer complaints. The role focuses on identifying violations of Nevada insurance laws and coordinating resolutions between parties.

The position requires knowledge of Title 57, NAC, and related regulations, plus strong investigative skills and professional conduct in a fast-paced regulatory environment.

Qualifications

• Bachelor's degree or equivalent in a related field; or equivalent combination of education and experience.
• 1 year of investigative experience in a regulatory/compliance setting; or 3 years with high school diploma.
• Gathers background information and prepares detailed reports.
• Familiar with Nevada state insurance laws (Title 57) and NAC/federal regs.

Responsibilities

• Conduct investigations in response to formal consumer complaints.
• Gather evidence (records, statements, financial data) to substantiate violations.
• Conduct interviews with complainants, witnesses, employers, and agencies.
• Develop leads and compile case files to support administrative actions.
• Coordinate informal resolutions, meetings, and negotiated settlements.

Education

Bachelor's degree in criminal justice, political science, psychology, social work, business administration or related discipline; OR high school diploma with 3 years' investigative experience; OR 1 year as Compliance Investigator I in Nevada State service

Job description

The Department of Business and Industry is recruiting to fill a Compliance Investigator 2 position within the Division of Insurance in Carson City. The incumbent will be responsible for conducting thorough investigations in response to formal consumer complaints. They will utilize established investigative techniques to identify potential violations of Nevada state insurance laws, particularly Title 57 (Insurance Code), as well as regulations from the Nevada Administrative Code and federal laws; assess complaints to determine whether licensed persons and entities are complying with the Insurance Code; and facilitate communication between the parties and the consumer, guiding them toward a resolution of the complaint.

Working in a fast-paced, consumer-driven environment requires specific skills and attributes. The successful candidate must effectively manage the demands of this environment while maintaining high standards of professionalism and service. These skills are crucial for ensuring that investigations are conducted efficiently, accurately, and in compliance with all relevant laws and regulations.

Bachelor's degree from an accredited college or university in criminal justice, political science, psychology, social work, business administration or other discipline related to the assignment and one year of investigative experience as an investigator in a specified program area where standard investigative techniques were utilized to make program compliance determinations and prepare detailed reports for the purpose of justifying administrative sanctions, penalties or criminal prosecution. Work experience may be obtained in a law enforcement, investigative, regulatory or compliance setting; OR graduation from high school or equivalent education and three years of experience as described above; OR one year of experience as a Compliance Investigator I in Nevada State service; OR an equivalent combination of education and experience as described above. Receive informal and formal complaints by phone or in writing and make determinations regarding possible program violations and jurisdiction under a specified program area; gather and analyze background information and facts pertaining to the case.

Conduct interviews with complainants, witnesses, employers, State and local governmental agencies and other sources to obtain information regarding violations or noncompliance; develop leads and facts pertaining to the case to substantiate violation.

Prepare required forms and/or notices and send to appropriate parties regarding complaint and alleged violations; review responses and discuss with complainant and respondent.

Gather evidence such as records, reports, bank statements, bills, check stubs, sales receipts, transaction verifications, personnel files and historical data pertaining to the initial violation to develop trends or patterns to support the complaint; conduct surveillance activities and serve subpoenas to obtain evidence and expedite the case as required.

Develop case files and maintain case logs and reports; file evidence along with chronological documentation regarding investigative steps taken and all contact made with complainant, respondent, witnesses and other sources; utilize information to develop final case report for further litigation as appropriate.

Coordinate possible resolution of complaint on an informal basis by conducting meetings and discussions with contending parties, addressing evidence gathered and steps to regain compliance and/or resolution of complaint; negotiate and stipulate final agreements in writing; monitor case to ensure adherence to agreements.

Prepare investigative reports encompassing all facts pertaining to the case; outline suspected violations, statements of facts, documentation of evidence, violations committed, statements obtained and findings and conclusions, for review by a higher authority for sanctions and/or criminal prosecution; appear before the governing body or in a court of law to provide testimony as required.

Maintain logs and statistical reports regarding status of on-going cases, final disposition, and field work performed, complaints received, and penalties imposed.

Conduct training programs regarding agency services, rules and regulations for employers, community groups and the general public to ensure compliance, understanding and awareness.

May conduct investigations of business activities on an as needed basis to ensure compliance with program rules and regulations and stipulated agreements.

Perform related duties as assigned.

Under general supervision, incumbents perform the full range of duties described in the series concept in an investigative unit at the journey level. Duties are distinguished from the Compliance Investigator I class by greater complexity and independence in performing job assignments at the full journey level.

This job specification lists the major knowledge, skills and abilities of the job and is not all inclusive. Incumbent(s) will be expected to have knowledge, skills and abilities from a previous level.

Working knowledge of:

Investigative principles and accepted practices; accounting and auditing principles; rules of evidence and the rights of citizens; office procedures, methods and equipment; recordkeeping practices to obtain needed information for investigations, auditing, and special projects; the functions of other State agencies to refer complainants to the appropriate jurisdiction.

General knowledge of:

Federal and State laws pertaining to the program area.

Ability to:

Analyze program records and reports; make oral group presentations to provide information and explain procedures, policies and laws pertaining to the program area; read and interpret contracts and legal documents in relation to program area; work independently and as part of a team; review and analyze information received from businesses, complainants and governmental agencies; conduct interviews both in person and by phone to ascertain factual information; mediate and negotiate resolution between contending parties; maintain equanimity in the face of resistance, indifference and hostility.