Securities Enforcement Auditor II — Investigations & Compliance

Illinois-Secretary-of-Stat; Chicago (IL); On-site; USD 56,000 - 107,000; Full time

Job summary

Office of the Illinois Secretary of State is seeking a Securities Enforcement Auditor II to perform complex financial reviews, examinations, and regulatory compliance work for securities dealers and investment advisors in Chicago. The role involves supervising staff, preparing detailed written reports, and assisting attorneys and investigators.

Ideal candidates have a four-year degree in accounting or related fields and extensive experience in accounting, auditing, and regulatory practices.

Qualifications

• Four-year college degree with advanced courses in accounting, business, or economics.
• Professional experience in accounting or related field required.
• Ability to supervise and train staff and auditors.

Responsibilities

• Perform complex financial reviews of securities dealers, investment advisors, and related entities.
• Prepare detailed reports and recommend actions based on findings.
• Supervise auditors and trainees; assist attorneys and investigators.
• Conduct investigations into fraudulent activities; interview victims and witnesses.
• Review net capital computations and compliance with regulations.
• Testify in administrative, civil, and criminal proceedings.
• Travel extensively statewide and out-of-state for audits and training.

Skills

Accounting principles

Audit/ exam supervision

Report writing

Regulatory knowledge

Investigative interviewing

Travel willingness

Communication skills

Education

Bachelor's degree in accounting, business, economics, or related field

Job description

Office of the Illinois Secretary of State is seeking a Securities Enforcement Auditor II to perform complex financial reviews, examinations, and regulatory compliance work for securities dealers and investment advisors in Chicago. The role involves supervising staff, preparing detailed written reports, and assisting attorneys and investigators.

Ideal candidates have a four-year degree in accounting or related fields and extensive experience in accounting, auditing, and regulatory practices.