Chief Compliance​/Audit Investigator

Job Summary

The Department of Business and Industry is recruiting to fill a Chief Compliance/Audit Investigator position within the Insurance Division in Las Vegas. The incumbent will direct investigative activities in compliance with Division, state, federal, and other applicable statutes and regulations; assign cases and audits to investigators as well as maintain their own cases and audits; review investigator cases, prepare reports, and make referrals for administrative or criminal enforcement as warranted;

and travel to meet witnesses and respondents and conduct on-site investigations and audits of licensees’ offices. They will also identify needs and deploy additional training for investigators; maintain current and comprehensive policies and procedures for the section; ensure CJIS requirements are met; participate in NAIC meetings, task forces, working groups, calls, and other related activities and keep the Division updated with respect to these activities;

testify as needed in hearings and court proceedings; and maintain and submit statistical information for monthly reporting.

Bachelor's degree from an accredited college or university in business or public administration, business management, accounting, or related field and four years of professional experience in an investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanction penalties or changes in management practices, policy and procedure;

or recommending criminal prosecution; OR graduation from high school or equivalent education and six years of experience, four of which were in a professional investigative, auditing or professional program-related position which required the application of federal and/or State laws, policy and procedure in making program compliance determinations; preparing detailed reports for the purpose of justifying administrative sanctions, penalties or changes in management practices, policy and procedure;

or recommending criminal prosecution; OR two years of experience as a Compliance/Audit Investigator III in Nevada State service; OR an equivalent combination of education and experience as described above.

Enforcement powers regarding program violations are limited to a specific program area that involves administrative sanctions or penalties imposed by the federal government, State official or a Hearings Board. Criminal violations are referred to the appropriate criminal justice agency for prosecution. This series is distinguished from other investigative classes by the additional audit function which is performed at least 25% of the time.

Audit work is performed in a specialized field which requires an extensive knowledge of federal and/or State laws, program rules and regulations; business operations; corporate structure; financial transactions, terminology and recordkeeping; and detecting falsified records and/or program violations. Violations may be elaborately planned and sophisticated in nature requiring extensive research and analysis to detect.

Receive and review formal complaints; make determinations regarding possible program violations and jurisdiction within the specified program area; gather and analyze background information and facts pertaining to the complaint; make determinations regarding the extent of violations, and recommendations to initiate a formal investigation.

Conduct interviews with complainant, witnesses, employers, State and local government agencies and other sources to obtain information regarding violations or noncompliance and develop leads and facts pertaining to the case to prove a violation or criminal intent exists.

Prepare required forms and notices; deliver to appropriate party regarding complaint and/or alleged violations following department policy and procedure; respond, review and discuss with complainant and respondent.

Develop case files and maintain case logs and reports; place evidence in case file along with…