CORPORATION COMMISSION

Address:  1300 W. Washington, Phoenix, AZ 85007
Flexible Scheduling and Hybrid Remote Options Available

Salary: 28.85 

Grade: 20

The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions and the registration and oversight of securities, dealers and salespersons, and investment advisers; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business. We are seeking a Securities Fraud Investigator to join its Enforcement Section.

You will be part of an enforcement unit, investigating possible violations of the Arizona Securities Act and Investment Management Act. This includes proactively using analytical skills to investigate complaints, performing extensive background checks, conducting interviews and participating in depositions, examining and analyzing data, collecting evidence and testifying at trial. Your duties may entail working with the general public, law enforcement officials, legal professionals, the business community, suspects, victims, and witnesses, and working in an undercover capacity.

• Extensive investigative experience; prefer experience on fraud investigations at a financial institution, regulatory agency or law enforcement agency
• Ability to prepare clear, concise reports
• Ability to testify in administrative, civil and criminal proceedings
• PC competency, particularly in MS Word, Excel, Adobe Acrobat and other MS Office programs as well as case file management software
• Database and internet emerging social media use/search proficiency preferred
• Capability to testify in administrative, civil or criminal proceedings
• Highly developed skills in reading comprehension, oral and written communication
• Positive interpersonal skills
• Substantial experience in interviewing and interrogative witnesses and suspects
• Education and experience related to accounting, criminal justice, financial fraud, elder crimes, subpoena issuance, the handling of large volumes of records or investment advisory, broker/dealer and other investment experience are skills desired for the successful candidate
• Valid Arizona driver’s license with clean driving record
• Bilingual (Spanish) is preferred, but not a requirement

Certified Peace Officers may be placed in a higher classification.

Any offer of employment is contingent upon successful completion of an employment/reference check, criminal history investigation (fingerprints) and confirmation of any degrees/certifications.
A.R.S. Section 40-101 prohibits Commission employees from having certain financial interests in entities that the Commission regulates. Applicants shall be required to disclose any interests they may have in the regulated entities during the application process, and as a condition of employment, to divest themselves of any prohibited interests.

If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business, then the following requirements apply: Driver’s License Requirements.

All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (E-Verify).

- Excellent comprehensive benefits, including a top-ranked retirement plan, low-cost health coverage, supplemental policies such as vision and short-term disability, generous paid vacation and sick leave programs, and Paid Parental Leave for those who qualify
- Free parking; carpooling resources and incentives; fully subsidized public transit
- Career and personal development support; multiple training and education opportunities and resources; qualifying Public Service Loan Forgiveness employer
- Interesting, challenging work in a public sector environment with the chance to make a real difference in our state
- We are a recognized Arizona Veteran Supportive Employer

Learn more about the Paid Parental Leave pilot program here. For a complete list of benefits provided by The State of Arizona, please visit our benefits page

This position qualifies for participation in the Arizona State Retirement System (ASRS) defined benefit pension.

If you have any questions, please email HumanResources@azcc.gov for assistance.