Securities Enforcement Auditor II

Job description

Office of the Illinois Secretary of State Alexi Giannoulias Job Title: Securities Enforcement Auditor II Division: Audit and Compliance Union: IFT Location: 69 W Washington St, Chicago – Cook County Salary: $4,849 to $9,298 monthly – commensurate with experience Benefits: https://cms.illinois.gov/benefits/stateemployee.html Overview : Performs difficult and complex financial and other reviews, regulatory compliance examinations for registered securities dealers, investment advisors and other entities selling securities mineral investment contracts, mineral deferred delivery contracts or rendering investment advise; reviews complex periodic and annual financial filings; advises the department of the results of these reviews and examinations and recommends action to be taken; provides assistance and advise to attorneys and investigators and testifies in administrative, civil and criminal proceedings; supervises and trains Auditor I’s and trainees. Duties and Responsibilities: - Conducts complex financial and other reviews and examinations of registered dealers, investment advisors and other entities selling securities, mineral investment contracts, mineral deferred delivery contracts...