Securities Enforcement & Compliance Auditor I

Illinois Secretary of State

Town of Springfield (WI)

On-site

USD 54,000 - 95,000

Full time

13 days ago

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Benefits offered by this job

State employee benefits

Job summary

Office of the Illinois Secretary of State in Springfield, IL seeks a Securities Enforcement Auditor I to perform financial reviews and regulatory examinations of securities dealers and investment advisers. The role supports enforcement efforts, tests documents, and may travel statewide.

Requires a four-year college degree with accounting or related coursework plus one year of professional experience; valid Illinois driver's license and willingness to travel are required; compensation aligns with

Qualifications

Requires knowledge of accounting principles.
Ability to conduct reviews and examinations and to write reports.
Ability to examine books and records and assist in investigations.

Responsibilities

Conducts financial reviews and examinations of dealers and advisers; reviews firm records for compliance with Illinois Securities Law.
Interviews victims and witnesses; prepares written reports and recommends actions; extensive travel statewide.
Prepares reports of findings and recommends departmental action.
Tests firm capital computations and filings for compliance with capital requirements.
Testifies in administrative, civil and criminal proceedings.