KSC Investigator Position (Topeka, KS)


Announcement of Vacant Position
Internal – External

Posting Date: August 16, 2019
Job Vacancy: Investigator
Req. No: 190565
Compensation Rate: $52,000 entry level or commensurate with experience
Position Type: Regular unclassified, full-time, non-exempt, eligible for full benefits.
Closing Date: September 6, 2019
Contact: Dale Hubbell  (785) 291-3801

Job Description:

The Office of the Kansas Securities Commissioner, a division of the Kansas Insurance Department, is recruiting for an Investigator position (fulltime, certified law enforcement officer is preferred, but not required).  The Investigator will conduct investigations of securities fraud and sale of unregistered securities covered by the Kansas Uniform Securities Act, and similar violations associated with the Kansas Loan Brokers Act.  These investigations are both advanced and technical and may involve regulatory requirements for broker dealers and/or investment advisers.  This position necessitates the ability to comprehend basic accounting principles and practices, corporate law and finance, state securities laws, rules and regulations, and securities industry standards and ethics codes.  An investigation may result in an administrative proceeding, and/or a criminal proceeding involving felony charges and potential incarceration in a state penitentiary. 

Primary Duties:

The Investigator’s duties will be dedicated to conducting interviews of victims, witnesses and suspects of alleged securities or loan broker violations. Successful performance requires communication and interpersonal skills to interview, negotiate or gain cooperation of persons with diverse and conflicting interests.

The Investigator will:

  • Obtain, organize, and maintain integrity of evidence.  Development of evidence requires seasoned judgment and advanced analytical skill.
  • Analyze a variety of financial and legal records and documents to evaluate operational and financial condition of entities and the propriety or deficiency of disclosures in prospectuses or other documents in relation to requirements of state and federal securities laws and regulations.
  • Prepare written reports of interviews, investigative operations, financial worksheets, administrative orders, administrative subpoenas, affidavits for arrest warrants and search warrants.
  • For certified law enforcement officers: Execute arrest warrants, search warrants, serves process, conducts surveillance of suspected persons or operations and cooperates with other local, state and federal regulatory and law enforcement agencies.

Additional Duties:

  • Serve as a resource for other staff members by providing guidance and instruction during investigations or compliance examinations. 
  • Answers inquiries involving technical or complex issues from the public, representatives of regulated firms and other regulators, and performs research, if necessary, to address such inquiries. 
  • Performs duties as assigned by the Director of Compliance and Enforcement, or Chief of Investigations, to accomplish agency objectives.

Position Type: Regular, unclassified, full-time, non-exempt, eligible for full benefits.

Position Location: Topeka, Kansas.

Regular Hours of Work: 40-hour work week completed during 8:00 AM – 5:30 PM, Monday - Friday. Hours of work are negotiable.

Compensation: Starting at $52,000 annually. Compensation is negotiable and dependent upon qualifications and experience.

Minimum Requirements:

  • Bachelor's degree in criminal justice, law, accounting, finance, business administration or a closely related field as deemed equivalent by agency administrators; Certified law enforcement, investigative or auditing experience may be substituted for a bachelor’s degree if deemed equivalent by agency administrators;
  • One year of experience working in the securities industry or in a regulatory environment is preferred; Professional experience or credentials may be considered to substitute for securities or regulatory experience if deemed equivalent by agency administrators;
  • Valid driver’s license;
  • Ability to pass a KBI background check; and
  • Ability to obtain and submit a Kansas Tax Clearance Certificate. Each applicant applying for a job with the State of Kansas must obtain a valid and up-to-date Kansas Certificate of Tax Clearance by accessing the Kansas Department of Revenue’s website at http://www.ksrevenue.org/taxclearance.html. A Tax Clearance is a comprehensive tax account review to determine and ensure that an individual’s account is compliant with all primary Kansas tax laws. A Tax Clearance expires every 90 days. All applicants, including current State employees, are responsible for submitting a valid and up-to-date certificate with all other application materials to the hiring agency. This is in accordance with Executive Order 2004-03. If you need assistance with the Tax Clearance, please contact (785) 296-3199 or kdor_tax.clearance@ks.gov.

Other Requirements:

  • Professional demeanor
  • Excellent organizational, scheduling, and prioritization skills
  • Ability to manage multiple assignments, meet deadlines, work independently, and implement instructions given by senior staff member
  • Maintain high level of confidentiality, ethics, and integrity
  • Superior writing and communication skills with the ability to communicate well with individuals from various backgrounds
  • Proficient in Microsoft Word, Excel, and PowerPoint 

Preferred Requirements:

  • Kansas Certified Law Enforcement Officer
  • Certified Fraud Examiner
  • Three years of experience in conducting investigations or auditing work

Travel: In-state travel will be required, and some limited out-of-state travel may be necessary. Applicant must therefore have a valid driver’s license.


How To Apply:

Step 1: Submit your personal information with the State of Kansas by completing the State of Kansas Personal Information Registration form found at https://admin.ks.gov/services/state-employment-center/job/applicant-data and clicking “Submit” at the bottom of the page.

Step 2: Complete the State of Kansas Employment Application found at https://admin.ks.gov/services/state-employment-center/sec-home/state-employment/online-application and click “Submit” at the bottom of the page.

Step 3: Submit the following documents to Dale Hubbell, Human Resource Professional, by the email address or mail address listed below:

  • Resume;
  • Cover letter;
  • Kansas Tax Clearance Certificate;
  • Photo copy of valid driver’s license; and
  • Veterans’ Preference K.S.A. 73-201(c) Form and DD-214, if applicable.

Contact Information:

Materials for submission and questions regarding the application process may be directed to:

Ms. Dale Hubbell
Human Resource Professional
Kansas Insurance Department
Vicki Schmidt, Commissioner
420 SW 9th St., Topeka, KS 66612
Phone Number (785) 291-3801
Fax (785) 296-8848

What to Expect Next:

Your application will be reviewed by members of the Office of the Kansas Securities Commissioner’s staff. Staff members will evaluate your qualifications based on the materials that you submit. Therefore, the materials that you submit must be complete and fully discuss how you meet the minimum, other, and preferred qualifications, if applicable. After your application is evaluated, you may be contacted for further information or to schedule an interview. You will be notified of your application’s outcome after the selection process is complete.

Veteran’s Preference Eligible (VPE):

Former military personnel or their spouse that have been verified as a “veteran” according to K.S.A. 73-201, will receive an interview if they meet the minimum competency factors of the position. The veterans’ preference laws do not guarantee the veteran a job. Positions are filled with the best qualified candidate as determined by the hiring manager. Additional VPE information can be found at http://da.ks.gov/ps/aaa/recruitment/veterans.htm.

DD Form 214, Certificate of Discharge or Separation from Active Duty, or other official documents (to include military discharge papers, or equivalent certification from the VA listing military status, dates of service, and discharge type) issued by the branch of service are required as verification of eligibility for veterans’ preference.

Individuals with disabilities are encouraged to contact the Recruiter if reasonable accommodations are needed for any part of the application or hiring process.

The Office of the Kansas Securities Commissioner is an Equal Opportunity Employer.