SECURITIES SPECIAL INVESTIGATOR III4198A1 Pay Grade: 30 DEFINITION OF WORK Summary This is administrative and/or supervisory work managing segments of the enforcement investigation program of the Office of the Kansas Securities Commissioner. Work involves administrative responsibilities for supervising and evaluating the work of subordinate investigators; assisting in the development of policies and operational guidelines; assisting the Division Director in formulating long range goals and objectives of investigation programs; and managing agency compliance with state, federal, and industry reporting requirements. Standard Classification Factors Supervision Received - LEVEL D: "Under general direction..." Employees at this level are usually in charge of a large and important organizational unit. They plan and carry out assignments with little supervision. They report regularly to a superior, usually by means of occasional conferences, to discuss work progress or new problems which require advice from above. This designation will pertain to classes with a high order of independence. Difficulty - LEVEL D: Unusual - The type of position which requires the exercise of unusual managerial, administrative, or scientific skill often involving several unrelated activities, frequent decisions, meeting of deadlines, negotiations with other high level functionaries, and planning, organizing, developing and coordinating large scale work projects requiring an unusual amount of concentration and analytic ability or unusually difficult engineering or scientific research or development or both. Complexity - LEVEL E: Work is of a highly diverse and/or complex nature characterized by a broad range of activities and frequently changing conditions, situations and problems. Considerable analytical thought is necessary for interpreting a variety of factors, problems and alternatives for methods and procedures. Work requires the origination of ideas, techniques and programs for solving technical problems or complicated situations. Workers at this level exercise a high degree of responsibility for independent judgment and may participate in major program changes or policy decisions. Work may be reviewed by occasional conferences or reports to superiors. When guidelines exist at this level, they are normally characterized by regulations, policies or complex technical manuals. Consequences of Actions and Decisions - LEVEL E: Consequences of actions or decisions at this level are highly significant. Work is rarely if ever reviewed. Errors may result in serious disruption in the operation of a major agency. Contacts - LEVEL D: The purpose of the contact is to justify, defend, negotiate, persuade or interrogate to settle matters, maintain good will, gain cooperation or reach compromises when the information is controversial or the individuals or groups have strong differences of opinions or diverse viewpoints. Extensive use of communication techniques and well developed communication skills are required for dealing with others. Physical Demands - LEVEL A: The work is predominantly sedentary and requires minimal or negligible physical exertion. The employee is normally seated; however, the nature of the work allows for periods of standing or walking at will. Environmental Conditions - LEVEL C: The work environment involves hazards, risks or discomforts typical of working with or around machinery with exposed moving parts, irritant chemicals, heavy equipment or abusive or hostile clientele and patients. Exposure to disagreeable weather conditions and extreme levels of temperature, ventilation, lighting and sound are normal. Protective clothing or gear and specific safety standards or procedures may be required. Serious injury is possible. Supervision/Leadership - LEVEL E: Involves scheduling, supervising and evaluating work as a "manager" of first line supervisors or as a "first line supervisor" of workers who perform distinct and separate blocks of work generally related as to purpose but requiring different processes and methods. Responsible for hiring and disciplinary actions which may or may not require the approval of a higher level of authority. Distinguishing Features Differs from Securities Special Investigator II which is advanced and lead work in field investigation of securities compliance work. Differs from Securities Special Investigator IV which is advanced administrative work directing all aspects of the agency's enforcement investigation program through subordinate supervisors. EXAMPLES OF WORK PERFORMED Reviews division's daily activity; receives and evaluates investigation and audit reports and summaries; coordinates activities within the division and evaluates the overall effectiveness of operations through direct contact with investigators. Conducts periodic inspections of division personnel and equipment. Reviews personnel and equipment utilization records and designs and implements economizing measures. Provides direction and oversees work assignments in the enforcement division and reviews the program's goals and objectives related to work product and performance. Prepares administrative subpoenas, applications for search and arrest warrants, and prosecution summaries for subsequent approval. Administers and is responsible for maintenance of a field office or agency program component such as Tobacco and Firearms. Compiles statistical data and reports on enforcement efforts. Meets with local, state and federal regulatory and law enforcement agencies to resolve problems and promote cooperation. Assists the Director of Enforcement in prioritizing investigative efforts; formulates long-term goals and objectives; and ensures that appropriate procedures and policies are followed by enforcement personnel. Provides training to enforcement personnel to maintain skills and knowledge and to maintain state law enforcement certification. REQUIRED KNOWLEDGE, ABILITIES AND SKILLS Knowledge Knowledge of principles and practices of public administration, including management of operations, personnel, budget and fiscal practices. *Knowledge of principles and practices of accounting and financial investigations. Knowledge of federal and Kansas criminal law and procedures, securities laws and regulations, land sale and loan broker laws. *Knowledge of criminal investigation techniques and procedures. Knowledge of financial markets and investment products. Knowledge of business practices and books and records of registered securities broker-dealers and investment advisers. Knowledge of ethical standards for registered securities broker-dealers and investment advisers. Abilities *Ability to establish and maintain effective relationships with public officials, private industry officials, and the public. *Ability to direct, coordinate and evaluate complex financial investigations for criminal, civil, or administrative prosecution. Ability to detect, comprehend, explain and interpret unusual situations or departures from securities industry trade practices. *Ability to interview or interrogate others to elicit pertinent information. *Ability to evaluate the relative importance of all information received. *Ability to organize and clearly express information in concise written form. *Ability to operate firearms. *Ability to remain calm under stressful conditions. Ability to apply the force necessary to effect an arrest. Ability to resolve financial investigations and auditing problems and to recommend changes in investigative procedures. *Necessary at Entry MINIMUM REQUIREMENTS: Bachelor’s degree in criminal justice, accounting, business administration, or in a closely related field of study and five years of experience in complex securities regulatory work, including one year of supervisory experience. Additional experience in the areas listed above may be substituted for the required education as determined relevant by the agency.
Necessary Special Requirements: NC: 06/94 |