Job Description

The Financial Investigator position is responsible for detection, investigation and enforcement activities relating to fraudulent and regulatory violations of the North Carolina Securities Act, Investment Advisers Act and Commodities Act (N.C.G.S. Chapters 78A, 78C, & 78D). This position will conduct, a wide variety of case investigations and examinations which may have been initiated, identified, or referred to the North Carolina Securities Division by individuals, state and federal securities\' regulatory agencies and securities and commodities industry self-regulatory agencies. This position will complete written reports of investigation and may draft deficiency letters; conduct financial analysis and evaluation of accounting records and specialized transactional records employed by the securities industry. This position requires knowledge of and ability to use investigative procedures and techniques, including interviews, obtaining and evaluating documentary evidence, preservation of evidence, and testimonial presentation of evidence before judicial tribunals. The position will determine jurisdictional basis, conduct interviews, collect additional documentary evidence from public sources or through legal process, perform financial analyses, analyze collected data, report on investigative activities, participate in sanctioning of violations and conduct audits of securities brokerage firms, individual brokers and investment advisers in order to ensure compliance with the rules and regulations promulgated under the Securities Act, the Investment Advisers Act, and the Commodities Act. Job Type: Full-time Pay: $54,197.00 - $65,000.00 per year Benefits:

• 401(k)
• Dental insurance
• Employee assistance program
• Flexible spending account
• Health insurance
• Paid time off
• Parental leave
• Retirement plan
• Vision insurance

• Holidays