Investigations Supervisor
Under general direction, the Investigations Supervisor directs, coordinates, and supervises the investigations program for the Bureau of Securities. Directs Bureau resources and conducts complex investigations of administrative, civil, and criminal violations of the Securities Act of Nebraska, including securities fraud, and other consumer protection status. Supervises a Securities Analyst II. Conducts interviews and issues subpoenas for information and documents from officials, corporate officers, investors, and other interested parties for information related to investigations. Reviews and analyzes financial information, agreements, witness testimony, and other information. Applies statutes, rules, and regulations, to determine whether violations have occurred and whether to pursue enforcement action. Prepares and maintains evidence, serves as expert witness, and coordinates enforcement actions with Department Counsel. Supports local County Attorney Offices, State Attorney General’s Office, or federal prosecutors in cases involving securities or consumer protection statutes. Establishes and maintains relationships with local police departments, the FBI, Attorney General’s office, County Attorney offices, the U.S. Postal Inspection Service, other state securities regulators, other Nebraska State agencies, or other law enforcement entities for the purposes of coordinating administrative, civil, and criminal investigations, prosecution, or representing the Department of Banking and Finance as the expert in Nebraska’s Securities law. Other duties as assigned.
REQUIREMENTS: Bachelor’s degree from an accredited college or university in a business-related field (accounting, business administration, business law, economics, finance, etc.) or an advanced degree in law or business administration. Three years investigative, regulatory, or compliance experience.