Communication techniques and well developed communication skills become an important requirement at this level. The work is predominantly sedentary and requires minimal or negligible physical exertion. The work environment involves hazards, risks or discomforts typical of working with or around machinery with exposed moving parts, irritant chemicals, heavy equipment or abusive or hostile clientele and patients. Exposure to disagreeable weather conditions and extreme levels of temperature, ventilation, lighting and sound are normal. Protective clothing or gear and specific safety standards or procedures may be required.
Serious injury is possible.
Distinguishing Features Differs from Securities Special Investigator II which is advanced securities investigation work and lead work in the investigation of securities compliance. Examines securities broker-dealers to audit compliance in the areas of sales practices, supervision, financial and operations procedures, due diligence practices, and books and records. Analyzes a variety of records to determine operational and financial condition of an entity, including business plans, use of investment capital proceeds, and disclosure of material information. Prepares audit workpapers and other summaries for presentation at case reviews, administrative hearings, or in court proceedings. Prepares and serves orders of subpoenas, affidavits, and warrants.