Securities Enforcement Auditor II - Chicago, IL
4 days ago

Job Summary
The Securities Enforcement Auditor II performs difficult and complex financial and other reviews, regulatory compliance examinations for registered securities dealers, investment advisors and other entities selling securities mineral investment contracts, mineral deferred delivery contracts or rendering investment advise; reviews complex periodic and annual financial filings;
Duties and Responsibilities:
+- Conducts complex financial and other reviews and examinations of registered dealers, investment advisors and other entities selling securities...
- Prepares detailed reports of review or examination findings...
- Provides assistance to attorneys on difficult matters...
Job description
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