Job Details

The Office of Financial Institutions is responsible for the supervision of various entities which provide financial services to the citizens of the State of Louisiana.  The Office is divided into three major divisions based on general types of institutions regulated - the Depository Institutions Division, the Non-Depository Services Division, and the Securities Division.  OFI is committed to developing a highly professional staff that effectively utilizes available resources and makes sound decisions.

The Compliance Investigator position is responsible for leading agency criminal investigations of alleged or suspected violations of Louisiana laws and regulations governing Securities, Residential Mortgage Lending, and other non-depository entities. Violations include operating without a license, consumer complaints which allege criminal or civil misconduct, etc. Investigations include conducting interviews, undercover operations, research and review of public and criminal records, analysis of financial records, and surveillance activities in compiling evidence of violations.

AN IDEAL CANDIDATE SHOULD POSSESS THE FOLLOWING COMPETENCIES:
Communicating Effectively: The ability to convey information, ideas, and emotions using structured communication methods that promote understanding and engagement. 
Making Accurate Judgments: The ability to assess options, weigh risks, and make sound decisions using 
Thinking Critically: The ability to analyze information objectively, identify connections across sources, and form logical, well-supported conclusions. 


Selected Preferred Competencies:
Accepting Direction: The ability to be open and willing to follow guidance or instructions.
Acting with Ethics and Integrity: The ability to make choices that reflect ethical standards, integrity, and honesty, regardless of circumstances or personal benefit.
Displaying Professionalism: The ability to uphold workplace standards through consistent conduct, responsible communication, and consideration for others. 
Following Policies and Procedures: The ability to follow, reinforce, adapt, or develop policies and procedures to maintain compliance with federal and state legal requirements, State Civil Service rules, and organizational policies. 
Solving Problems: The ability to identify root causes, analyze relevant data, and apply practical or innovative solutions to challenges. 

 

Minimum Qualifications

MINIMUM QUALIFICATIONS:
Three years of experience in accounting, auditing, administrative services, building inspection, real estate appraisal, law enforcement, investigations, or in the issuance or recommendation of medical licenses; OR

Six years of full-time work experience in any field; OR

A bachelor's degree.

EXPERIENCE SUBSTITUTION:
Every 30 semester hours earned from an accredited college or university will be credited as one year of experience towards the six years of full-time work experience in any field. The maximum substitution allowed is 120 semester hours which substitutes for a maximum of four years of experience in any field.

Job Specification

The official job specifications for this role, as defined by the State Civil Service, can be found here.

Job Duties and Other Information

Job Duties:

-Conduct investigations into alleged or suspected misconduct by licensed members of the applicable board.
 
-Reviews and gathers evidence by taking oral, written, or tape-recorded statements from witnesses. May conduct surveillance.

-Investigate reported violations of state, federal, and agency laws, rules, and policies.
 
-Prepares and maintains detailed confidential reports and summaries of investigations/inspections.
 
-May give presentations and training on applicable laws and licensure regulations to the public.
 
-May make recommendations on updating laws and requirements for each license.
 
-May testify in Civil Service hearings, Ethics Commission hearings, board hearings, criminal and civil court concerning the results of investigations.

Position-Specific Information:
Appointment Type: Probational 
Career Progression: This position may be filled as a Compliance Investigator 1, 2, or 3. 

Louisiana is a State as Model Employer (SAME) for individuals with disabilities. 


 

How To Apply:

No Civil Service test score is required in order to be considered for this vacancy.

To apply for this vacancy, click on the “Apply” link and complete an electronic application, which can be used for this vacancy as well as future job opportunities. Applicants are responsible for checking the status of their application to determine where they are in the recruitment process. Further status message information is located under the Information section of the Current Job Opportunities page.

* Information to support your eligibility for the position must be included in the application (i.e., relevant, detailed experience/education).  Resumes will not be accepted in lieu of completed education and experience sections. Applications may be rejected if incomplete.
 
 
For further information about this vacancy, contact:
 George Hagerty, Human Resources Analyst
Ghagerty@ofi.la.gov