Financial Investigator

~THIS IS A NON-SWORN FINANCIAL INVESTIGATOR POSITION~

The North Carolina Department of the Secretary of State is the heartbeat of the business community promoting economic growth and protecting the public from financial harm. The Department works with business, banking and legal communities to strengthen our state's economy with a system of reliable business and governmental records. We also safeguard individuals and businesses against fraud.

DESCRIPTION OF WORK:  

The Financial Investigator position is responsible for detection, investigation and enforcement activities relating to registration and regulatory violations of the North Carolina Securities Act, Investment Advisers Act and Commodities Act (N.C.G.S. Chapters 78A, 78C, & 78D), collectively the Acts. The Registration Section of the Division reviews proposed securities offerings and enforces compliance with state statutes and regulations governing these transactions and the registration of individuals and firms.

This role is primarily an auditing, compliance and registrar position. The position will conduct books and records examinations of broker dealer and investment adviser firms to ensure compliance under the Acts; complete written reports of investigation and draft deficiency letters; conduct financial analysis and evaluation of disclosure and accounting records and specialized transactional records; and review and examine complex applications for registration of securities broker-dealer firms, securities salesmen, investment advisers, and investment adviser representatives. 

This position may be eligible for an alternate worksite arrangement in accordance with the Secretary of State's Teleworking Policy but should permanently reside within 80 miles from the Securities Division's office in Raleigh, North Carolina. 

Salary offers are based upon the candidate's education and experience related to the position, as well as departmental budget and equity considerations.

Each applicant must possess the following skills and abilities and must be reflected in work experience:

• General knowledge of the regulatory system and practices applicable to the financial services or securities industry.
• Ability to conduct examination and investigations of registration applications and financial statements for compliance. 
• General knowledge of and the ability to interpret and apply provisions of the Federal and North Carolina securities, investment adviser, and commodities laws and their related administrative regulations.
• Ability to clearly communicate verbal and written information in order to facilitate books and records examinations and investigations.
• Ability to develop and execute a timely investigative plan while maintaining confidentiality.

MANAGEMENT PREFERENCES:

Management prefers applicants with experience in finance, accounting, or regulatory compliance industries, knowledge of securities regulations, and strong attention to detail. Banking compliance or operations professionals are encouraged to apply. This is NOT a law enforcement position.

Some state job postings say you can qualify by an ‘equivalent combination of education and experience.’ If that language appears below, then you may qualify through EITHER years of education OR years of directly related experience, OR a combination of both. See the Education and Experience Equivalency Guide for details.

Bachelor’s degree in accounting, finance, business administration or criminal justice from an appropriately accredited institution, with eighteen credit hours of accounting coursework and two years of experience in auditing and/or investigating tax, financial, or securities crimes; or equivalent combination of education and experience.

A valid North Carolina driver's license or ability to obtain one is required to operate a state vehicle.

SPECIAL NOTE:

The agency may consider for this position a trainee who does not meet the minimum requirements. Salary for a trainee may be set at a lower level than the classification salary range and recruitment range that iT listed in the posting with the salary being adjusted up accordingly when the trainee has obtained the necessary additional education and experience to fully meet the minimum qualifications as outlined in the classification specification.

To apply for this position, please click the "Apply" link on the Government Jobs website or visit Job Opportunities with the Secretary of State to complete an online application.

Applications that include "see attached" or rely solely on resumes instead of completing the formal application's education and work experience sections will be considered incomplete and ineligible for consideration for the vacancy. Unless explicitly requested in the vacancy announcement (e.g., transcripts, proof of licensure or certification), all attachments are considered optional and will not be reviewed during the initial screening to assess the applicant's eligibility for the vacancy.

Applicants seeking Veteran's Preference must attach a DD Form 214, Certificate of Release or Discharge from Active Duty, along with their application.

Applicants seeking National Guard Preference must attach a NGB 23A (RPAS) if currently serving as a member of the NC National Guard in good standing. If you are a former member of the NC National Guard with a service tenure of at least 6 years and an honorable discharge, please attach either a DD256 or NGB 22.

The North Carolina Department of the Secretary of State is committed to Equal Opportunity Employment and employs the Merit-Based Recruitment and Selection Plan to fill positions subject to the State Human Resources Act with the most qualified candidates. The actual salary will be determined based on relevant competencies, knowledge, skills, and abilities, as well as considerations for internal equity and budgetary considerations pertinent to the advertised position.

State Employees are encouraged to apply for positions of interest even if the salary grade is the same as, or lower than their current position.

The State of North Carolina offers health insurance, twelve paid holidays, one personal observance leave day, generous vacation and sick leave accrual, dental and vision coverage, and additional insurance options, along with retirement benefits. Detailed information about our benefits can be found at NC OSHR: Benefits.

If you are having technical issues submitting your application, please call the NC Office of State Human Resources at 984-236-0800.

For further information, please contact:

Tameka M. Gentry, ASSISTANT HR DIRECTOR 
 North Carolina Secretary of State
 Human Resources | Old Revenue Building
 2 S. Salisbury Street | Raleigh, NC 27601
 Phone: (919) 814-5331 | Fax: (919) 814-5395
 Email: tgentry@sosnc.gov

Salary : $55,823 - $97,689