Securities Enforcement Investigator

US Government, 670 Department of Commerce

Are you inquisitive in nature? Do you have a knack for investigating? The Division of Securities is hiring to fill two full-time investigator positions.  One being a time limited  vacancy for one (1) year. Securities Investigators conduct investigations of unlicensed individuals and unregistered offerings to determine violations of the Utah Uniform Securities Act and related criminal codes. This position works in cooperation with law enforcement agencies as well as state and federal prosecutors concerning criminal, civil and administrative enforcement of Utah’s securities laws. By joining the securities team, you will also be given the opportunity to obtain your Certified Financial Planner-CFP and Certified Fraud Examiner-CFE.

Telework is not available during training (3 to 6 months), then 2-3 days of teleworking will be approved if eligibility requirements are met. 

Principal duties include, but are not limited to, the following:

  • Responding to incoming questions and complaints from the public: providing information, explaining policy and procedures;
  • Conducting investigations into allegations of securities law and related criminal code violations;
  • Finding facts and gathering evidence;
  • Examining financial records, reviewing legal documents and performing analysis;
  • Conducting interviews;
  • Maintaining detailed investigation records;
  • Creating investigative reports, documenting findings, and compiling evidence to support a recommended course of corrective action; and
  • Presenting investigative findings in various venues, including screening cases for criminal, civil, or administrative enforcement actions and testifying as a fact witness in legal proceedings.

The best-qualified candidates for the position will have:  

  • The ability to work independently and collaboratively as part of a team;
  • A willingness to learn and take direction;
  • Good verbal and written communication skills;
  • Good organizational skills; 
  • A good attention to detail. 
  • An achievement-oriented work ethic;
  • Detail oriented;
  • Self-motivated;
  • The ability to comfortably testify in court.

Preference may be given to those who have one or more of the following:

  • Education in the field of criminal justice, law, finance, economics, accounting, politics/policy, public administration, or equivalent four (4) year work experience in a similar field;
  • Experience in Investigations;
  • Experience in accounting;
  • Professional writing skills;
  • Experience reading and applying regulations;
  • Securities industry experience.

This position will provide you with a variety of different cases and motives to investigate without repetition; no case is ever the same. This is fascinating and fulfilling work to protect investors and hold bad actors accountable. This position also is eligible for a rich benefits package, generous paid time off, and great work-life balance. You can learn more about offered benefits here.
The Department of Commerce is the licensing and registration agency for Utah’s professional and business community. The Department strengthens trust in Utah’s commercial activities through regulation, enforcement and education. You can learn more about the Department and all its agencies by visiting the website


  • Health Insurance – Public Employee Health Program (PEHP):
    • 3 medical plan options. Choose a Traditional or High Deductible Health Plan. There is an Opt-Out Cash Benefit option for those that have other medical insurance coverage.
    • 5 dental plan options, with an Opt-Out Cash Benefit option for those that have other dental insurance coverage.
    • 4 vision plan options under EyeMed or OptiCare
  • Retirement – Utah Retirement Systems (URS):
    • Employees who have any service credit with an employer covered by the Utah Retirement Systems prior to 7/1/2011 are in the Tier I Public Employees System.
    • Employees hired on or after 7/1/2011 and who have never been in the URS retirement system have two options for retirement in the Tier II System. 
      • Tier 2 Hybrid Retirement System. Employer contributes an amount equal to 10% of your salary between both plans (pension and 401(k))
      • Tier 2 Defined Contribution Plan. Employer contributes an amount equal to 10% of your salary to a 401(k) plan only.  
    • Employer contributions to your 401(k) are vested after four years.
  • Paid Time Off:
    • Annual leave and sick leave are accrued at 4 hours per pay period each (4 hours annual, 4 hours sick).
    • Annual leave amounts increase with years of service. 
    • We have 12 paid holidays.
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