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 Chief Investigator to supervise a team of ten investigators. Matters we investigate are often multi-million, multi-jurisdictional financial frauds involving up to hundreds of defrauded investors.
You will be part of a 25-person enforcement unit, investigating possible violations of the Arizona Securities Act and Investment Management Act. Securities Division investigators proactively use analytical skills to investigate complaints, perform extensive background checks, conduct interviews, participate in depositions, examine and analyze data, collect evidence, and testify at trial.
The Chief Investigator’s responsibilities include initially reviewing all complaints regarding violations of the Arizona Securities and Investment Management Acts, assigning the complaints to investigators, supervising the investigation of the complaints, helping set enforcement priorities, training investigators, and handling personnel issues. Responsibilities also include personally handling a reduced investigator caseload. Your duties may entail working with the general public, law enforcement officials, legal professionals, the business community, suspects, victims, and witnesses.
• Several (8+) years of investigative experience, preferably on fraud investigations at a financial institution, regulatory agency, or law enforcement agency
• Excellent interpersonal skills
• Ability to manage and supervise personnel
• Ability to train others in investigative skills
• Ability to collaborate with other Securities Division supervisors
• Ability to work with Securities Division attorneys and accountants
• Highly developed skills in reading comprehension and oral and written communication
• Ability to interpret and apply state and federal securities and criminal laws, rules, regulations, and statutes
• Current working knowledge of securities and investment adviser laws preferred
• PC competency, particularly in MS Word, Excel, and other MS Office programs
• Valid Arizona driver’s license with clean driving record
Any offer of employment is contingent upon successful completion of a reference check, motor vehicle records check, physical, polygraph, and criminal history investigation (fingerprint clearance).
A.R.S. Section 40-101 prohibits Commission employees from having certain 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.
- Excellent comprehensive benefits, including a top-ranked retirement plan, low-cost health coverage, supplemental policies such as vision and short-term disability, and generous paid vacation and sick leave programs
- 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 an Equal Employment Opportunity agency and a recognized Arizona Veteran Supportive Employer.
For a complete list of benefits provided by The State of Arizona, please visit our benefits page
This position participates in the Arizona State Retirement System (ASRS).
If you have any questions, please feel free to email HumanResources@azcc.gov for assistance.
ARIZONA MANAGEMENT SYSTEM (AMS)
All Arizona state employees operate within the Arizona Management System (AMS), an intentional, results-driven approach for doing the work of state government whereby every employee reflects on performance, reduces waste, and commits to continuous improvement with sustainable progress. Through AMS, every state employee seeks to understand customer needs, identify problems, improve processes, and measure results.
State employees are highly engaged, collaborative and embrace a culture of public service.
The State of Arizona is an Equal Employment Opportunity Employer.