Supervisory Compliance Investigator

State of Nevada•Las Vegas, NV

6d•Onsite

About The Position

The Department of Business and Industry is recruiting to fill a Supervisory Compliance Investigator position within the Division of Insurance (DOI) in Las Vegas. DOI seeks a highly organized and experienced professional to lead and manage complaint investigation activities within the agency. The ideal candidate will oversee a team responsible for intake, review, and resolution of complaints, ensuring all work meets state, federal, and Division requirements. You will be tasked with assigning, reviewing, and managing complaints, including handling escalated and complex matters. The incumbent will ensure consistency and accuracy in complaint-handling processes, including maintaining complete and compliant documentation, establishing performance goals for the section, monitoring progress, and holding staff accountable for meeting expectations. They will respond to inquiries from regulated entities, the public, vendors, and other agencies, including managing public records requests; participate in NAIC meetings, calls, and working groups; identify and elevate high-profile or sensitive issues to leadership and ensure all deadlines are met; coordinate with internal sections, external agencies, and other states on matters related to complaints, investigations, enforcement, and industry trends; monitor staff performance, conduct evaluations, and provide ongoing coaching and feedback to support professional growth; ensure all staff communications are professional, courteous, and accurate; and oversee record retention for the section, ensuring all documentation meets legal and regulatory requirements.

Requirements

Bachelor's degree from an accredited college or university in criminal justice, police science, psychology, social work, business administration or other discipline related to the assignment and two years of investigative experience as an investigator in a specified program area where standard investigative techniques were utilized to make program compliance determinations and prepare detailed reports for the purpose of justifying administrative sanctions, penalties or criminal prosecution.
Work experience may be obtained in a law enforcement, investigative, regulatory or comparable setting; OR graduation from high school or equivalent education and four years of investigative experience as outlined above; OR two years of experience as a Compliance Investigator II in State service; OR an equivalent combination of education and experience as described above.
Detailed knowledge of: civil law and related criminal law to enforce program regulations as well as federal and State laws; recordkeeping practices to obtain and store needed investigative reports and documents.
Working knowledge of: the methods and practices of effective investigations and what constitutes legal evidence; Nevada Revised Statutes, agency policies and procedures as well as federal laws or regulations that pertain to the specified program area.
General knowledge of: supervisory principles and practices.
Ability to: conduct the most complex investigations which are of a sensitive or high profile nature; maintain effective working relationships with other enforcement agencies; negotiate and formulate complaint resolution; explain methods and requirements for compliance of agency policy to staff, service providers, the public, legal representatives, and the court; provide in-service training to subordinate staff on investigative methods and courtroom procedures; prepare and implement policy and procedures when needed; motivate others to take appropriate action; think through the consequence of a decision prior to making it; provide direction to investigative staff on a wide variety of casework assignments and investigations; analyze investigative reports and methods used for determining findings to ensure compliance with federal or State guidelines; and all knowledge, skills and abilities required at the lower levels.

Responsibilities

Receive informal and formal complaints by phone or in writing and make determinations regarding possible program violations and jurisdiction under a specified program area; gather and analyze background information and facts pertaining to the case.
Conduct interviews with complainants, witnesses, employers, State and local governmental agencies and other sources to obtain information regarding violations or noncompliance; develop leads and facts pertaining to the case to substantiate violation.
Prepare required forms and/or notices and send to appropriate parties regarding complaint and alleged violations; review responses and discuss with complainant and respondent.
Gather evidence such as records, reports, bank statements, bills, check stubs, sales receipts, transaction verifications, personnel files and historical data pertaining to the initial violation to develop trends or patterns to support the complaint; conduct surveillance activities and serve subpoenas to obtain evidence and expedite the case as required.
Develop case files and maintain case logs and reports; file evidence along with chronological documentation regarding investigative steps taken and all contact made with complainant, respondent, witnesses and other sources; utilize information to develop final case report for further litigation as appropriate.
Coordinate possible resolution of complaint on an informal basis by conducting meetings and discussions with contending parties, addressing evidence gathered and steps to regain compliance and/or resolution of complaint; negotiate and stipulate final agreements in writing; monitor case to ensure adherence to agreements.
Prepare investigative reports encompassing all facts pertaining to the case; outline suspected violations, statements of facts, documentation of evidence, violations committed, statements obtained and findings and conclusions, for review by a higher authority for sanctions and/or criminal prosecution; appear before the governing body or in a court of law to provide testimony as required.
Maintain logs and statistical reports regarding status of on-going cases, final disposition, and field work performed, complaints received, and penalties imposed.
Conduct training programs regarding agency services, rules and regulations for employers, community groups and the general public to ensure compliance, understanding and awareness.
May conduct investigations of business activities on an as needed basis to ensure compliance with program rules and regulations and stipulated agreements.
Perform related duties as assigned.
Under general supervision, incumbents perform the full range of duties described in the series concept and in addition, act as a first-line supervisor.
Incumbents review initial complaints, assign cases to lower level investigators and monitor and direct investigative staff regarding procedures and appropriate courses of action.
Incumbents conduct the more complex or difficult case assignments characterized by their sensitive or high-profile nature that may involve multiple program violations requiring an extensive knowledge of program rules and regulations as well as federal and State laws and guidelines.
This class is distinguished from lower level investigators by supervisory responsibility for a staff of investigators that perform compliance/regulatory duties for a specific program area such as public assistance, real estate, insurance, employment discrimination or sexual harassment.
Incumbents provide training to new investigators, prepare performance reviews, supervise and coordinate the investigative process and make final recommendations to the Chief or Program Administrator regarding investigative reports.