Securities Compliance Auditor I

Illinois-Secretary-of-Stat; Springfield (IL); On-site; USD 54,000 - 95,000; Full time

Job summary

The Office of the Illinois Secretary of State is seeking a Securities Enforcement Auditor I in Springfield to perform financial reviews, examine dealers and investment advisers, and assist in regulatory actions.

This role requires a four-year college degree with accounting/business coursework plus experience, willingness to travel statewide, and a valid Illinois driver’s license; salary is commensurate with experience. The division supports enforcement activities and coordinated investigations.

Qualifications

• Requires four-year college with accounting, business, bookkeeping, economics or related field plus one year of professional related experience or completion of an approved Governmental Career Trainee program.
• Requires knowledge of the principles and concepts of accounting.
• Requires willingness to travel extensively and possession of a valid Illinois driver’s license.

Responsibilities

• Conducts financial and other reviews and examinations of registered dealers, investment advisers, and other entities selling securities; reviews records for compliance with Illinois Securities Law.
• Conducts investigations of fraudulent activities; interviews victims, witnesses and subjects; prepares written reports.
• Prepares reports of findings and recommends departmental action; uses automation tools.
• Reviews capital calculations and financial statements for compliance with rules.
• Assists auditors, attorneys and investigators by reviewing records and developing evidentiary conclusions.
• Testifies in administrative, civil and criminal proceedings.
• Performs other duties as required.

Skills

Accounting knowledge

Report writing

Communication

Interviewing

Travel willingness

Driving license

Insurance/records handling

Education

Four-year college degree with accounting/business coursework

Governmental Career Trainee program

Job description

The Office of the Illinois Secretary of State is seeking a Securities Enforcement Auditor I in Springfield to perform financial reviews, examine dealers and investment advisers, and assist in regulatory actions.

This role requires a four-year college degree with accounting/business coursework plus experience, willingness to travel statewide, and a valid Illinois driver’s license; salary is commensurate with experience. The division supports enforcement activities and coordinated investigations.