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State of Georgia Job Description

Job Title: PS:Compliance Investigator(WL)
Job Code: 17013
Last Update: 9/1/2010
Salary Plan: Statewide Salary Plan (SWD)


(SWD)

Job Description, Responsibilities, Standards, and Qualifications

Job Description:


Conducts investigations to obtain evidence of reported fraud, abuse, or violation of rules, regulations, or statutes, or locate missing persons.


Job Responsibilities & Performance Standards:

1.
Checks business records to determine amount of tax due to the state and collects delinquent accounts
1. Receives training in all aspects of conducting criminal investigations into violations of applicable laws.
2. Aggressively seeks criminal intelligence information from all available sources.
3. Evaluates data received from confidential informants, law enforcement agents etc., checking criminal histories/other records, and conducting surveillance, undercover operations, etc. to determine if illegal or unlawful activity has taken place.
4. Maintains strict confidentiality of intelligence information received from other law enforcement agents or agencies.
5. Obtains search warrants based on probable cause after receiving authorization from judges in applicable jurisdictions, permitting lawful searches of people/property suspected of concealing contraband or evidence of criminal activity.
6. Arrests violators with or without warrants, advising of rights when applicable. Escorts violators to appropriate detention facilities for processing, or issues summons for court appearance in accordance with established policies and procedures.
7. Maintains a current knowledge of the legal aspects of criminal investigations and procedures pertaining to interview, interrogation, and surveillance techniques, search warrants, affidavits, confidential informants, and undercover operations. Assumes an
8. Assumes an undercover role when required.
9. Coordinates, cooperates with, and assists other law enforcement agencies (Federal,State, and local), keeping abreast of any problem areas and possible law violations and promptly responding to duties on a 24 hour basis when required.
2.
Conducts investigations to ascertain facts and obtain evidence on alleged violations and misconduct; interviews witnesses and obtains statements
1. Adequately prepares to testify in court and other official forums by maintaining a current knowledge of legal aspects governing the rules of evidence, preparing responses to questions, assisting in the preparation of cases, etc.
2. Testifies as required by prosecutors and other officials. Notifies Divisional superiors and prosecutors when subpoenaed by the defense as a witness; follows established Divisional policies and procedures when served with subpoena.
3. Maintains liaison and coordinates with prosecuting attorneys of assigned jurisdictions when appropriate.
4. Effectively communicates the results of investigative actions during judicial proceedings.
5. Maintains a professional appearance and consistently displays proper courtroom demeanor at proceedings.
3.
Conducts training and outreach for interested parties
1. Prepares narrative descriptions of crime scenes in a timely manner.
2. Thoroughly documents interviews, the collecting and handling of evidence, and other investigative actions including all necessary attachments and supporting documents in clear and concise summaries.
3. Maintains current investigative contact information and confidential information files, ensuring that proper documentation is enclosed.
4. Submits case reports in a timely manner.
5. Makes corrections noted by supervisor in a timely manner.
4.
Explains the law or other agency regulations to the parties in violation to give support or secure compliance
1. Visits businesses, inspecting all licenses, alcohol, and tobacco products, to ensure that licenses are current, maintained, and properly posted, and that all alcohol and tobacco products are in compliance with applicable laws and regulations.
2. Seizes contraband property from alcohol licensees by declaring State property. Takes custody and completes seizure report of any contraband which is in violation of Georgia law. Maintains proper records of seized property.
3. Visits licensed non-beverage alcohol manufacturers and inspects facility and alcohol to ensure that finished product is denatured and not being converted for use as a beverage in violation of Georgia law.
4. Thoroughly documents inspection and prepares detailed reports of findings.
5. Issues to licensee suspected of violation of law and/or regulation citations prepared in accordance with Divisional policy and procedure directing licensee to appear at a hearing to determine facts of allegations contained therein.
6. Represents the Department by properly preparing for and attending administrative hearings, presenting the facts of specific cases, maintaining a professional appearance, and consistently displaying proper demeanor.
7. Prepares intelligence reports on unusual findings and submits to supervisor in a timely manner, forwarding to appropriate authorities as necessary.
8. Assists other law enforcement and regulatory agencies when required.
5.
Issues warnings, citations and may request arrest warrants
1. Visits coin-operated machine licenses businesses and inspects all licenses and machines to determine if proper licenses are current, maintained, and properly posted.
2. Inspects coin-operated machines to ensure compliance with appropriate laws and regulations and appropriate stickers are maintained for machines.
3. Seizes unlicensed machines by rendering machines inoperable or by taking custody of the unlicensed machine and completes proper Confiscated Items Receipt for all machines seized.
4. Maintains proper records of seized property and reports same to supervisor.
5. Maintains chain of custody of seized property and transports to the State Warehouse for transfer of custody.
6. Advises licensee of procedure for claiming proper subsequent to acquiring proper licenses and/or stickers.
7. Thoroughly documents inspection and prepares detailed reports of findings, submitting to supervisor in a timely manner.
8. Issues to licensee suspected of violation of law and/or regulation, Executive Orders prepared in accordance with Divisional policy and procedure directing the licensee to appear at a resolution meeting, attempting to resolve the issue.
9. When the issue cannot be resolved, issues citations prepared in accordance with Divisional policy and procedures directing licensee to appear at an administrative hearing to determine facts of the allegations contained therein.
10. Represents the Department by properly preparing for and attending administrative hearings, presenting the facts of specific cases, maintaining a professional appearance, and consistently displaying proper demeanor.
11. Prepares intelligence reports on suspicious activity and machines, submitting to supervisor in a timely manner, and forwarding to appropriate law enforcement authorities when necessary.
12. Assists other law enforcement agencies when required.
6.
Monitors compliance with terms of licensure
1. Receives on-the-job training in conducting on-site audits of alcohol and tobacco distributors.
2. Contacts business owners and/or licensees to arrange mutually accepted times and dates of audits.
3. Conducts physical inventory of alcohol on hand, accurately completing appropriate forms and reports in accordance with established policies and procedures and obtains all appropriate signatures.
4. Conducts physical inventory of cigarettes, other tobacco products, and Georgia Tax stamps on hand, accurately completing appropriate forms and reports and obtaining all appropriate signatures.
5. Destroys damaged stamps and completes appropriate forms and reports to arrange refund to licensee.
6. Submits completed reports to supervisor and/or the Chief of Operations in a timely manner after the audit has been completed.
7.
Perform internal audits to determine misuse of time, funds, and/or equipment
1. In a timely manner and in accordance with Divisional policies and procedures, prepares administrative citations for alcohol, tobacco, and coin-operated amusement machine licensees that fail to properly and timely remit State taxes.
2. Forwards all legal documents to supervisor in a timely manner.
3. Serves delinquent tax citations to licensees or responsible employees at business places, collecting delinquent taxes if appropriate. Advises licensees or designees of means to resolve tax issues.
4. Serves Executive Orders on cited licensees or designees in person and ensures the provisions of Orders are carried out.
5. Collects bond forfeitures, taxes, penalties, and interest if appropriate.
6. Suspends licenses if provisions of Orders are not met by violators. Forwards all legal documents, bond forfeitures, and taxes to supervisor in a timely manner.
7. Receives training on and serves Motor Fuel Tax and/or Motor Vehicle Registration Fi.fas on violators, collecting delinquent taxes, penalties, and interest. Levies property when necessary. Forwards all legal documents to supervisor.
8. Represents the Department by properly preparing for and attending administrative hearings, presenting the facts of specific cases, maintaining a professional appearance, and consistently displaying proper demeanor.
8.
Prepares summary reports, maintains case files, and documentation of case resolution
1. Receives on-the-job training pertaining to background investigations and formal training through courses such as The Fundamentals of Financial Investigations and The Fundamentals of White Collar Crime Investigations.
2. Conducts thorough reviews of applications and other documents submitted by applicants to ensure completeness and correctness and to ensure applications and related documents meet law and regulation requirements.
3. Advises applicants of errors and/or omissions in applications and related documents and requests that corrections be made, providing forms and other paperwork to facilitate corrections when necessary.
4. Provides applicants with documents to certify requests, dates, and times for submission to investors.
5. Conducts interviews with other law enforcement agency personnel (Federal, State, and local) to determine and verify previous violation of laws by license applicants.
6. Aggressively seeks intelligence information, sharing findings with appropriate agencies when required.
7. Conducts criminal history checks using a GCIC terminal or in person at local law enforcement agencies.
8. Conducts interviews with references provided by license applicants and other persons as appropriate to determine the character qualifications of the applicants.
9. Verifies financial information provided by license applicants, ensuring that applicants meet requirements in accordance with laws, regulations, policies, and procedures. Ensures that funds invested in the business do not have criminal origins.
10. Completes background investigations in a timely manner, preparing all required reports and submitting them to the supervisor in a timely manner with approval or denial recommendations.
11. Cites all applicable laws and regulations to sustain the denial of alcohol or other applications.
12. Assists other law enforcement agencies and related personnel as required.
9.
Reviews and scrutinizes subpoenaed financial records, documents, and records for security violations
1. Maintains assigned vehicle and equipment in accordance with Departmental and Divisional standards, completing related reports in a timely manner.
2. Manages relations and liaisons with other law enforcement agencies, departments, and the public.
10.
Reviews records, documentation, and other evidence for violations of laws or regulations
1. Attends regular meetings of at least one technical organization
2. Maintains a continuing education program by attending at least one seminar each year.
3. Maintains technical knowledge by reading up-to-date technical reports, articles, books, etc.
4. Extent to which knowledge of trends and developments in the field are demonstrated throughout the year.
11.
Seizes, maintains control of and disposes of contraband
1. Treats customers with respect, courtesy, and tact. Listens to and interacts with customers while maintaining a business orientation and relationship.
2. Communicates with customers to obtain all required information necessary to determine and address their needs. Explains why services cannot be rendered when applicable.
3. Selects instructional methods appropriate to learner needs and objectives.
4. Presents training seminars as required in a clear, concise, and understandable manner.
12.
Interacts with all levels of State government in a way that promotes respect, encourages cooperation, and contributes to excellent performance. (Performed by all incumbents)
1. Treats all other Departmental and State personnel fairly, giving no one preferential treatment.
2. Communicates accurate information to all other State and Departmental personnel in a professional and courteous manner that conveys a willingness to assist.
3. Accepts direction and feedback from supervisors and follows through appropriately.
4. Accepts responsibility for mistakes and takes action to prevent similar occurrences.
5. Uses appropriate, established chain of command and channels of communication.
13.
Learns, develops, and maintains proficiency in the operation and usage of Departmental and other State mainframe computer and PC systems. (Performed by all incumbents)
1. Uses available computer systems to check licensing status, products authorized to be sold, and other general licensee information.
2. Communicates with supervisory and other Departmental personnel via e-mail if applicable.
3. Prepares and maintains investigative and other reports using PCs and various software programs.
4. Monitors and updates net sites to include license suspensions, closed businesses, licenses activated, etc.
14.
Performs other duties as assigned in compliance with established Departmental and Divisional policies and procedures. (Performed by all incumbents)
1. Completes and submits all required reports and vouchers in a complete, concise, and timely manner, in accordance with established policies and procedures.
2. Maintains issued vehicle and other assigned equipment in accordance with Departmental and Divisional policies and procedures, ensuring that these items are available and in proper working order.
3. Handles all Departmental funds in strict compliance with Departmental and Divisional policies and procedures, completing related documents properly and in a timely fashion.
4. Maintains firearms proficiency with all issued and approved weapons, Ensuring that all weapons are cleaned, properly handled, and stored appropriately.
5. Dresses appropriately for assignments.
6. Coordinates with other law enforcement personnel in joint operations and investigations when required.
7. Interacts with other Departmental personnel as required.
8. Properly and safely operates State vehicles in both routine and emergency situations.


Sample Technical Competencies:

1.
Ability to ascertain facts by personal contact, observation and examination of records
2.
Ability to explain and interpret pertinent provisions of laws and regulations
3.
Ability to read, comprehend and determine accuracy of records
4.
Ability to identify discrepancies and authenticate documents
5.
Ability to perform audits
6.
Ability to report misuse of resources to appropriate personnel

Entry Qualifications:

Completion of two years of coursework (90 quarter hrs or 60 semester hours) at a college or university and one year of directly related experience Or Two years of directly related experience Or Bachelor's degree in a related field Or One year experience at the lower level or equivalent position (PSP080) Note: Some positions may require a valid driver's license Note: Some positions may require POST certification or eligibility


Preferred Qualifications:

Demonstrated ability in using all job related computer applications. Bachelor's Degree from a recognized four-year college or university in Criminal Justice or a closely related field. 12 months experience as an Investigator, Underage Compliance with the Alcohol and Tobacco Division of the Georgia Department of Revenue. Two years continuous full time employment as a Georgia certified peace officer with a recognized governmental agency. One year experience conducting investigations.



Career Development Levels:

1.
PSP082 - PS:Investigative Comp Inv (AL)
2.
PSP083 - PS:Investigative Comp Inv(SP)
NOTE:
Job description information is extracted daily from the official Phoenix HRMS Job Code database. Problems in conversion may cause formatting errors in some job descriptions.

The information presented, while not an exact or exhaustive listing, describes the work, performance standards, and qualifications typically required of positions or employees in this job. A specific position description or employee performance plan may differ as long as it is consistent with the core Responsibilities, Standards and Qualifications of that job.
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