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 state-of-the-art system of reliable business and governmental records. We also safeguard individuals and businesses against fraud.
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.
- 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.
- The starting salary for a new hire for this position is limited to the recruitment range of
$54,197 – $65,000. Salary offers are based upon the candidate’s education and experience related to the position, as well as departmental budget and equity considerations.