Investigator, Law​/Legal, Regulatory Compliance Specialist

Overview

Do you have a sharp eye for detail, a strong sense of justice, and a passion for financial integrity? The Missouri Securities Division is looking for talented and driven professionals to join our Enforcement team as an Investigator.

The primary responsibilities and general expectations for this role involve uncovering and stopping fraud, unethical conduct, and unlawful securities activity across Missouri. This is your chance to be at the forefront of protecting the investing public, while applying investigative and analytical skills in meaningful, high-impact work.

• Leading Investigations:
  Manage a caseload of securities fraud and misconduct investigations focusing on unregistered offerings, financial scams, and deceptive practices under the Missouri Securities Act of 2003.
• Digging Deep:
  Interview victims, witnesses, and suspects; draft statements and build timelines to illuminate complex financial activity.
• Following the Money:
  Issue target letters and subpoenas, review documents, trace funds through financial systems, and analyze intricate transactions to uncover fraudulent schemes.
• Collaborating with Legal Teams:
  Work closely with enforcement attorneys to develop case strategies. Help prepare legal documents, assist with discovery, and testify in both administrative and criminal proceedings.
• Attention to Detail:
  Maintain organized investigative files and produce a final investigative report to assist enforcement attorneys in resolving complaints, investigations, and cases.
• Staying Sharp:
  Keep up with changes in securities regulation, financial products, and investigative best practices.
• Collaborate with Agencies:
  Coordinate efforts with federal and state partners to maximize the impact of investigations.

• Strong critical thinking and analytical skills.
• Skilled at reviewing cases, evaluating fact patterns, and identifying issues using investigative techniques.
• Develop a deep understanding of the financial services industry.
• Comfort with complex financial records, banking transactions, and document-heavy cases.
• Be thorough, detail-oriented, and task-focused.
• Able to communicate facts, theories, and analysis effectively in writing.
• Able to apply laws and rules to specific situations.
• Excellent writing skills to clearly communicate investigative findings.
• Ability to remain objective, discreet, and professional, even in high-stakes situations.
• Good organization skills and the ability to handle dozens of open cases simultaneously.
• Ability to work independently with limited direction.

A bachelor’s degree in business, criminal justice, or related program is preferred. Experience in the securities industry or law enforcement is helpful. Certifications (SIE, Series 7, Series 65, CFE, CKYCA, CTMA, CAFCA, CAMS, CAFS, etc.) are a plus.

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.

Salary: $50,004.00 per year

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