Job Posting 21-26

JOB DESCRIPTION:

The Enforcement Division is charged with protecting Texans from illegal and fraudulent securities schemes. It is primarily responsible for the detection and prevention of violations of the Securities Act, including fraud committed in connection with the sale of securities, illegal sales of unregistered securities, and sales of securities by unregistered parties. The Complaint Intake Coordinator will serve as the primary point of contact for victims, complainants, and the public, and conduct initial intake interviews by phone, email, and in person. 

Job duties include the following:

• Serve as the primary point of contact for individuals submitting complaints to the Agency.
• Conduct initial intake interviews by phone, email, and in person, including interviews with individuals experiencing financial loss or emotional distress.
• Gather and document relevant facts, supporing evidence, financial information, and other information necessary to evaluate complaints.
• Assess complaints for completeness, accuracy, and consistency; identify missing information or documentation; and request additional records or evidence when necessary.
• Explain the complaint process, Agency jurisdiction, and appropriate next steps to complainants.
• Review complaints to determine jurisdictional authority and the appropriate disposition or referral, including referral to other state or federal regulatory agencies, such as the Securities and Exchange Commission, Texas Department of Insurance, or other appropriate authorities.
• Coordinate with the Agency's Enforcment, Inspections and Compliance, and Registration divisions to identify whether complaints involve registered or unregistered entities or individuals and determine the appropriate division for review, referral, or further action.
• Maintain regular communication with complainants regarding the status of intake, requests for additional information, referrals, and next steps.
• Create and maintain complete and accurate electronic complaint and case files.
• Ensure complaints and supporting information are entered into the Agency's case management system accurately and timely.
• Track incoming complaints from initial receipt through assignment, referral, or other disposition.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from an accredited four-year college or university with a bachelor's degree in criminal justice, business, public administration, communications, finance, or a related field is preferred. Relevant work experience may be substituted for education on a year-for-year basis. The successful candidate must be able to communicate effectively with individuals experiencing financial loss or emotional distress while exercising sound judgment, attention to detail, and the ability to work independently and as a part of a team. Skilled in the operation of computer systems and associated applications, such as word processing, spreadsheet, and database applications. Experience and education may be substituted for one another. Chosen applicant must reside in Texas.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

Knowledge of financial fraud schemes, investigative processes, and applicable state and federal laws is a plus. Candidates with experience using electronic case management systems, analyzing records and documentation, coordinating with law enforcement or regulatory agencies, and providing compassionate assistance to victims are preferred.

HOW TO APPLY (Application procedure, Special requirements):

To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board “Supplement To Application For Employment”, (3) copies of college transcripts for all listed colleges (school and degree awarded must be identifiable), and (4) a resume.

Applications and the Supplement form may be downloaded from the Agency website at https://www.ssb.texas.gov. The preferred method to submit completed applications, along with the Supplement, transcripts, and resume, is via email at human.resources@ssb.texas.gov. You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327. Resumes will not be accepted in lieu of a standard state application. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only.

PLEASE NOTE: All fields on the application and supplement must be filled out completely, using NA when applicable, and both documents signed. Transcripts should identify the college(s) and the degree awarded. Incomplete and/or missing forms, or unidentifiable transcripts will not be accepted by the hiring department.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.

Military Crosswalk for Occupational Category - Program Management