Corporations Investigator Series
California State Personnel Board Specification
Series established July 12, 1988
Scope
This series specification describes four Corporations Investigator classes used by the Department of Corporations. These classes are used for persons who conduct and supervise the most complex and sensitive civil and criminal investigations and enforcement activities relating to all the laws under the jurisdiction of the Commissioner of Corporations. Corporations Investigators also provide technical assistance and training for local law enforcement agencies. Corporations Investigators of the Department of Corporations perform the full range of peace officer duties and responsibilities in the accomplishment of their assignments.
Corporations Investigator Series Specification - Class Titles and Codes
Definition of Series
Corporations Investigators conduct investigations of alleged civil and criminal law violations; make complex investigations of consumer and investment frauds; confer with local, State and Federal peace officers on the conduct of complex investigations; interrogate suspects and interview witnesses; confer with Department of Corporations' attorneys, district attorneys and prosecutors in preparing cases for court; take statements and depositions and make arrests; work closely with local law enforcement agencies to coordinate investigative efforts and provide a high level of technical advice and training.
Factors Affecting Position Allocation:
Complexity and variety of work, independence of action and decision making, and degree of supervision exercised and received.
Definition of Levels
Corporations Investigator
This is the entry, first journey and full journey level in the series. Under supervision, incumbents are trained in investigative techniques and conduct civil and criminal investigations. Incumbents in this class assist higher level enforcement staff and gradually assume, as a full journey level investigator, responsibility for the most complex investigations, work independently, and lead or review work of subordinate staff.
Associate Corporations Investigator
This is a technical litigation specialist position. Incumbents are assigned complex specialized administrative, civil and criminal litigation cases with technical emphasis in areas of accounting, real estate principles, health law, commodities, computer theory and application, and other specialized areas as identified by departmental officials. Where it is perceived that the Department will have to commence administrative or civil action or refer the case for criminal prosecution, incumbents will assist and provide technical expertise to departmental personnel, District Attorneys and other law enforcement agencies. Incumbents may work independently or as a leadperson coordinating the work of a team of Corporations Investigators on complex administrative, civil and criminal cases that are characterized by fragmentary books, sophisticated computerized data input and extraction, and elaborate financial and real estate schemes.
Supervising Corporations Investigator
This is the working supervisor level of the series. Incumbents (1) supervise a group of subordinate Corporations Investigators in the most complex and extensive field investigations, review investigative reports prepared by subordinates and other jurisdictions and make recommendations thereon; or (2) participates with the Regional Manager, Corporations Investigations Program, in the organization, planning and direction of a regional investigative program.
Regional Manager, Corporations Investigations Program
This is the full supervisory level in the series. Incumbents are responsible for planning, organizing and directing the investigation program in either Northern or Southern California. Incumbents participate in policy decisions affecting the statewide investigative program; and review investigative reports in their area of jurisdiction to determine cases on which evidence exists to refer to the legal unit for civil or criminal prosecution.
Job Characteristics
All Levels:
All levels in the Corporations Investigator class series will be required to satisfactorily complete a training course pursuant to the provisions of Penal Code 832 prior to the completion of their probationary period. Additionally, the Supervising Corporations Investigator and Regional Manager, Corporations Investigations Program, classes will be required to complete the supervisory course as prescribed by the Commission on Peace Officer Standards and Training (POST). These courses must also be completed prior to the completion of the probationary period for the respective class. Failure to do so will be considered evidence of unsatisfactory progress and cause for rejection during the probationary period.
Minimum Qualifications
Corporations Investigator
Either I
Education: Equivalent to a four-year degree from college with a major preferably in criminal justice, administration of justice, or police science. (Registration as a senior in a recognized institution will admit applicants to the examination, but they must produce evidence of graduation or its equivalent before they can be considered eligible for appointment.)
Or II
Experience: Two years of experience in investigative work; and
Education: Equivalent to two years of college. (Additional qualifying experience may be substituted for the required education on a year-for-year basis.)
Or III
Experience: One year of experience in the California state service performing the duties comparable to those of an Investigator Assistant or in an investigation assignment in the class of Management Services Technician, Range B. Applicants who are being considered for Corporations Investigator positions assigned "Peace Officer" status (as determined by California state law) must possess the educational equivalent to completion of the twelfth grade. (Applicants who have completed six months of service as an Investigator Assistant or six months at Range B of the Management Services Technician will be admitted to the examination, but they must satisfactorily complete one year of experience in either of these classes before they can be considered eligible for appointment.)
Associate Corporations Investigator
Either I
One year of experience in the California state service performing the duties of a Corporations Investigator, Range C.
Or II
Experience: Two years of responsible experience as an investigator or detective in a governmental or private agency involved in full-time civil or criminal investigative work. and
Education: Equivalent to a four-year degree with a major preferably in criminal justice, administration of justice, or police science. Up to two years of the educational requirement may be satisfied by substituting experience on a year-for-year basis.
Supervising Corporations Investigator
Either I
One year of experience in the California state service performing the duties equivalent to an Associate Corporations Investigator.
Or II
Two years in the California state service performing the duties of a Corporations Investigator, Range C.
Or III
Experience: Three years of responsible experience as an investigator or detective in a governmental or private agency involved in full-time civil or criminal investigative work, including or supplemented by at least one year of supervisory experience. and
Education: Equivalent to a four-year degree from college with a major preferably in criminal justice, administration of justice, or police science. Up to two years of the educational requirement may be satisfied by substituting experience on a year-for-year basis.
Regional Manager, Corporations Investigations Program
Either I
One year of experience in the California state service performing the duties equivalent to a Supervising Corporations Investigator.
Or II
Three years of experience in the California state service performing the duties of an Associate Corporations Investigator.
Or III
Experience: Five years of responsible experience as an investigator or detective in a government or private agency involved in full-time civil or criminal investigative work, including or supplemented by at least two years of supervisory experience. and
Education: Equivalent to a four-year degree from college with a major preferably in criminal justice, administration of justice, or police science. Up to two years of the educational requirement may be satisfied by substituting experience on a year-for-year basis.
Knowledge and Abilities
All Levels:
Knowledge of: civil and criminal investigation techniques and interview and interrogation processes and procedures; provisions of appropriate laws found in the California Corporations, Financial and Health and Safety Codes, the California Penal Code, the Code of Civil Procedures and Federal laws relating to the qualification and sale of securities; duties of Federal, State, and local law enforcement agencies; methods and terminology used in the modus operandi system; the securing and preservation of evidence; and general training techniques and methods as applied to peace officer training.
Ability to: develop techniques, methods and skills required in the conducting of civil and criminal investigations; apply laws and rules to specific situations; gather and analyze facts and evidence and present such evidence as required; analyze situations accurately and take effective action; participate actively in interviews and interrogation; appear as an expert witness; file complaints, conduct interrogations, serve subpoenas, take depositions; prepare copies and accurate reports and microfilm documents/evidence in the field; provide technical assistance to and conduct training for local law enforcement agencies; speak effectively before groups; establish and maintain cooperative working relationships; speak and write effectively.
Associate Corporations Investigator
Knowledge of: in addition to the above, technical expertise in areas of accounting, real estate principles, health law, commodities, computer theory and application or other specialized areas as identified by departmental officials.
Ability to: in addition to the above, conduct independently, investigations involving complex specialized administrative, civil and criminal litigation cases.
Supervising Corporations Investigator
Knowledge of: in addition to the above, principles and techniques of supervision; the Department's Affirmative Action Program and objectives; a manager's role in the Affirmative Action Program and the processes available to meet affirmative action objectives.
Ability to: in addition to the above, plan and conduct the most difficult and complex civil and criminal investigations; effectively supervise the work of a group of Corporations Investigators and other enforcement personnel; provide high level of technical advice and training to local law enforcement agencies; effectively contribute to the Department's affirmative action objectives.
Regional Manager, Corporations Investigations Program
Knowledge of: in addition to the above, techniques and methods involved in administering specialized investigative and enforcement programs; principles of management; organization and functions of the Department of Corporations and other appropriate State, local and Federal agencies.
Ability to: in addition to the above, plan, organize and direct the investigation program in an assigned geographical area; implement training programs; and assist in administering specialized investigative enforcement programs or projects.
Special Personal Characteristics
All Levels:
Willingness to work throughout the State and at unusual hours; keenness of observation; good memory for names, faces, places, and incidents; satisfactory record as a law-abiding citizen, and possession of a valid California driver's license.
Special Physical Characteristics
All Levels:
Possession and maintenance of sufficient strength, endurance and agility necessary to perform the essential functions of the job with or without reasonable accommodation; hearing sufficient to perform the essential functions of the job with or without reasonable accommodation.
Citizenship Requirement
All Levels:
Existing law provides that peace officers be either a U.S. citizen or a permanent resident alien who is eligible for and has applied for U.S. citizenship at least one year prior to the final file date for his examination. The one-year requirement does not apply to permanent resident aliens who have applied for peace officer classes prior to their 19th birthday.
Minimum Age
All Levels:
Must meet minimum age requirement to be appointed as a California peace officer per the Commission on Peace Officer Standards and Training (POST) and in accordance with existing law.
Felony Disqualification
All Levels:
Existing law provides that persons convicted of a felony are disqualified from employment as peace officers. Such persons are not eligible to compete for, or be appointed to, positions in this class.
Class History
Corporations Investigator Series History - Dates Established, Revised, and Title Changed
