Investigator I-III

Definition:

An Investigator conducts investigations into suspected violations of Missouri securities laws related to fraud and unethical business practices in the offer and sale of securities.

Job Functions and General Responsibilities:

• Manage a caseload of securities investigations involving fraud, unregistered offerings, dishonest/unethical practices or other violations of the Missouri Securities Act of 2003, which are assigned to them by the Director of Enforcement in the Securities Division.
• Locating, interviewing and preparing statements of victims, witnesses and suspects.
• Collect evidence by issuing target letters, drafting subpoenas, and reviewing documents and financial records.
• Trace funds through banking systems and analyze complex financial transactions.
• Maintain organized investigative files and produce a final investigative report to assist enforcement attorneys in resolving the complaints, investigations, and cases.
• Work closely with the Division's enforcement attorneys on investigative strategies.
• Assist in drafting petitions and motions, participate in discovery processes, including depositions, and testify in administrative, civil and criminal proceedings.
• Track developments in securities and financial industry regulation, and maintain an understanding of effective and customary investigative techniques.
• Cooperate with other state and federal agencies in investigations.

Knowledge, Skills, and Abilities:

• Skilled at reviewing cases and fact patterns and identifying issues using investigative techniques.
• Successful investigators have a deep understanding of the financial services industry.
• Ability to analyze, prepare, and present evidence gathered from interviews, documents, bank records and other items to create a strong enforcement case, which may involve complex financial industry products and issues.
• Be thorough, able to pay particular attention to detail, and task-oriented.
• Be competent writers with the ability to communicate facts, theories and analysis effectively.
• Able to apply laws and rules to a specific situation.
• Be objective, discreet and able to communicate appropriately and maintain effective relationships with Division staff, outside agencies, law enforcement officials, victims, witnesses, targets and the general public.
• Good organization skills and the ability to handle dozens of open cases simultaneously.
• Be able to work independently with limited direction.

Qualifications:

A bachelor's degree in business, criminal justice, or related program is preferred. Experience in the securities industry or law enforcement is helpful. Classification will be determined by the level of education and experience.

The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.