COMPLIANCE INVESTIGATOR 1 - 3

COMPLIANCE INVESTIGATOR 1 - 3 Print ( Apply ufeff COMPLIANCE INVESTIGATOR 1 - 3 Salary $2,922.00 - $5,734.00 Monthly Location Baton Rouge, LA Job Type Classified Job Number OFI-218977-MRH Department GOV-Office of Financial Institutions Opening Date 03/20/2026 Closing Date 4/2/2026 11:59 PM Central + Description + Benefits + Questions About this Job 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 u201cApplyu201d 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 PO Box 94095 Baton Rouge, LA 70804-9095 (225) 925-4538 Louisiana State Government represents a wide variety of career options and offers an outstanding opportunity tomake a differencethrough public service. With an array of career opportunities in every major metropolitan center and in many rural areas, state employment provides an outstanding option to begin or continue your career. As a state employee, you will earn competitive pay, choose from a variety of benefits, and have access to a great professional development program: Insurance Coverage More information can be found at Parental Leaveu2013 Up to six weeks paid parental leave More information can be found at Holidays and Leave u2013 State employees receive the following paid holidays each year: + New Year's Day + Martin Luther King, Jr. Day, + Mardi Gras, + Good Friday, + Memorial Day, + Independence Day, + Labor Day, + Veteran's Day, + Thanksgiving Day and Christmas Day. Additional holidays may be proclaimed by the Governor State employees earn sick and annual leave which can be accumulated and saved for future use. Your accrual rate increases as your years of service increase. Retirement u2013 State of Louisiana employees are eligible to participate in various retirement systems (based on the type of appointment and agency for which an employee works). These retirement systems provide retirement allowances and other benefits for state officers and employees and their beneficiaries. State retirement systems may include (but are not limited to): + Louisiana State Employees Retirement System (LASERS has provided this video (to give you more detailed information about their system + Teacher's Retirement System of Louisiana ( + Louisiana School Employees Retirement System (among others 01 How well do you accept guidance, follow instructions, and adjust when given feedback? + I resist direction, ignore feedback, and need reminders to complete tasks. + I follow direction with reminders and often need clarification or support. + I follow direction reliably, adjust to feedback, and complete tasks on time. + I adapt quickly, follow through, and help others adjust as needed. 02 Explain your selection by providing specific examples from your experience. Tip: Use the STAR method (situation, task, action, result) to explain how you have demonstrated this competency. Examples from work, military service, volunteering, education, or other life experiences are all valid. 03 How well do you make choices that reflect ethical standards, integrity, and honestyu2014even when itu2019s difficult or inconvenient? + I ignore ethical standards, withhold information, or show bias or poor judgment. + I follow rules, share information, and try to avoid ethical missteps. + I act with integrity, respect confidentiality, and treat people fairly. + I promote ethics, model transparency, and help others act with fairness across teams. 04 Explain your selection by providing specific examples from your experience. Tip: Use the STAR method (situation, task, action, result) to explain how you have demonstrated this competency. Examples from work, military service, volunteering, education, or other life experiences are all valid. 05 How well do you share information and ideas in ways that others can understand, relate to, and act on? + I communicate unclearly, use poor tone, and ignore the audience. + I share main ideas clearly and adapt to the audience when reminded. + I communicate clearly, listen actively, and explain complex ideas well. + I craft messages that connect, inspire, and drive action across audiences. 06 Explain your selection by providing specific examples from your experience. Tip: Use the STAR method (situation, task, action, result) to explain how you have demonstrated this competency. Examples from work, military service, volunteering, education, or other life experiences are all valid. 07 How well do you meet expectations for workplace behavior, communication, and responsibilityu2014especially when under pressure? + I miss deadlines, act unprofessionally, or avoid responsibility for my actions or workplace expectations. + I meet basic standards for work quality, behavior, and communication when given occasional reminders or support. + I meet expectations, follow policies, and communicate respectfully and clearlyu2014even in difficult situations. + I model professionalism and ethics, adapt under pressure, and build trust through consistent and responsible behavior. 08 Explain your selection by providing specific examples from your experience. Tip: Use the STAR method (situation, task, action, result) to explain how you have demonstrated this competency. Examples from work, military service, volunteering, education, or other life experiences are all valid. 09 How do you make decisions when faced with choices, risks, or limited information? + I make reactive or delayed decisions and sometimes overlook risks, priorities, or potential bias. + I try to weigh options but struggle when thereu2019s uncertainty, competing priorities, or unclear outcomes. + I make timely, well-reasoned decisions by using available information, context, and trade-offs. + I make sound decisions in complex situations, lead others through ambiguity, and adapt as new information emerges. 10 Explain your selection by providing specific examples from your experience. Tip: Use the STAR method (situation, task, action, result) to explain how you have demonstrated this competency. Examples from work, military service, volunteering, education, or other life experiences are all valid. Required Question Employer State of Louisiana Address 1201 N 3rd St Baton Rouge, Louisiana, 70802 Phone (866) 783-5462 Website Apply Please verify your email addressVerify Email

Created: 2026-03-23