SECURITIES SPECIAL INVESTIGATOR IV4199A1 Pay Grade: 32 DEFINITION OF WORK Summary This is administrative work and professional investigative work as regional director of the enforcement program in the Office of the Kansas Securities Commissioner. Work involves the responsibility for planning, organizing and directing all aspects of the enforcement investigation program through subordinate supervisors or investigators in a geographic region of the state. Work is performed under administrative direction of the Commissioner. Standard Classification Factors Supervision Received - LEVEL E: "Under administrative direction..." At this level, employees are free to plan, develop and organize all phases of the work necessary for its completion within program guidance. Generally, they can develop and utilize any procedures and methods which do not conflict with major policies. Supervision is generally exercised over them through staff conference-type discussions and a review of progress reports. 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 analytical ability or unusually difficult engineering or scientific research or development or both. Complexity - LEVEL F: Work is of an extremely diverse and/or highly complex nature characterized by undefined activities and constantly changing conditions, situations and problems. Workers at this level must analyze abstract and complicated situations. Workers may be required to formulate theories, concepts and policies or to plan short and long-range objectives or programs and to resolve the problems that result. 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 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 A: The work environment involves normal everyday hazards or discomforts typical of offices, meeting and training rooms, or libraries. Comfortable levels of temperature, ventilation, lighting and sound are inherent in the work environment. Exposure to deviation from pleasant environmental conditions is only occasional. The likelihood of injury is remote. Supervision/Leadership - LEVEL F: Involves scheduling, supervising and evaluating work as a superior to managers of first line supervisors. May administer major departmental or multi-functional programs through subordinate managers. Distinguishing Features Differs from the Securities Special Investigator III which manages specialized or extensive investigations and assists with supervision of staff, but does not have administrative responsibility for the overall management of a regional office. EXAMPLES OF WORK PERFORMED Assists the Securities Commissioner in analyzing agency enforcement performance and accomplishments; assessing enforcement needs; developing enforcement policies; establishing priorities and determining methods of attaining objectives. Ensures that policies and procedures established by the Commissioner are followed; regularly confers with the Commissioner on matters of enforcement personnel, budget, program and policy planning and is responsible for implementing new policies, programs and procedures. Interprets and applies statutes, regulations, rules and policies to public officials, representatives of other jurisdictions, interested organizations and individuals. Meets with other agency officials and individuals to coordinate the enforcement activities of the agency with other jurisdictions at the city, county, state and federal levels and with securities industry executives at all levels. Plans, directs, reviews and evaluates work assignments in the enforcement division and reviews the program's goals and objectives related to work product and performance. Determines the soundness of allegations or whether information acquired in the course of an investigation is sufficient to warrant investigative efforts on behalf of the agency; recommends appropriate action and remedies to the Commissioner for violations and noncompliance. Approves and supervises the preparation of administrative subpoenas, administrative orders, applications for search warrants, arrest warrants, and prosecution summaries for referral to the General Counsel, Commissioner, and prosecuting attorneys. Evaluates and documents performance of subordinate investigators. Plans, directs, reviews and evaluates training programs to comply with state law mandating continuing education requirements for commissioned law enforcement officers. 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 procedure, securities laws and regulations, land sales law and loan brokers law. Knowledge of the 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. *Knowledge of criminal investigation techniques and procedures. *Knowledge of interviewing, interrogation and surveillance techniques. *Knowledge of the operation of firearms. Abilities *Ability to administer an enforcement organization through direction of subordinate management personnel. *Ability to interpret policies, directives, laws, rules, and regulations to officials and the public. *Ability to analyze organizational procedures and to devise recommended changes. *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 solve complex auditing and investigative problems. *Ability to detect, comprehend, explain and interpret unusual situations or departures from securities industry trade practices. *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 five years 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 |