Criminal Investigator I- Dora: Division Of Securities

Department Information

This announcement may be used to fill multiple vacancies.

The Department of Regulatory Agencies (DORA) is dedicated to preserving the integrity of the marketplace and is committed to promoting a fair and competitive business environment in Colorado.

Consumer protection is our mission.

DORA is a progressive, innovative government agency where employees and customers alike are valued. If you are interested in becoming a part of an environment where creative thinking, customer service, and protecting consumers through healthy regulation is valued, DORA is the place for you! In addition to rewarding, challenging, and meaningful work, the State of Colorado at the Department of Regulatory Agencies offers an excellent total compensation package including:

• Employer-sponsored RTD EcoPass, with offices located at Civic Center Plaza, above the RTD Civic Center station and just a few blocks from RTD light rail.

• Extensive work-life programs such as a telecommuting program, flexible schedules, training and professional development opportunities on a wide variety of subjects, and more!

• Employee wellness programs, including the Colorado State Employee Assistance Program (CSEAP), which provides free, confidential counseling services.

• Bike-to-work programs, including access to storage lockers and bike racks.

• Flexible retirement benefits, including a choice of the PERA Defined Benefit Plan or the PERA Defined Contribution Plan, plus optional 401K and 457 plans.

• Medical and Dental Health Insurance for employees and optional coverage for their dependents.

• Life Insurance for employees, and optional coverage for their dependents.

• Paid Time Off, including 11 paid holidays.

• Short and long-term disability coverage.

• Tuition assistance program.

Description of Job

The investigation section work unit exists to protect the investing public and to stop illegal conduct, through the identification and investigation of complex security schemes used to defraud the public. This work unit reviews complaints and referrals received from a variety of sources, investigates potential violations of the Colorado Securities Act and Colorado Commodities Code, and then either undertakes an enforcement action or closes the case. The investigations involve gathering evidence regarding potential criminal and/or civil securities violations and determining whether an administrative, civil, or criminal sanction applies. The work unit additionally assists prosecutors and civil litigation attorneys at the Colorado Attorney General's Office with trial litigation.

Positions: SLA 8533/8532

This position exists to conduct complex criminal and civil investigations of violations of the Colorado Securities Act and/or the Colorado Commodities Code under the supervision of a chief investigator and guidance of the Team Lead, and to provide litigation support to civil attorneys and criminal prosecutors. These investigations are unique and different from the investigations conducted by any other agency in Colorado state government in that the subject area is securities laws, which requires in-depth analysis of the financial industry and the ability to understand financial records and contracts. The investigations involve collecting and analyzing records, interviewing witnesses and targets, and drafting reports and memoranda in support of investigative findings and conclusions.

Duties include, but are not limited to:

• Conducting investigations of violations of the Securities/Commodities Acts by developing a strategy for the investigations, taking testimony from and interviewing witnesses, drafting and serving subpoenas, writing affidavits in support of search and seizure and arrest warrants, planning and conducting covert operations, and organizing and analyzing evidence in order to determine whether the law has been violated;

• Participating in administrative, civil, and criminal litigation by preparing evidence, reviewing complaints and criminal charging documents, and testifying in all phases of the case;

• Summarizing findings through the process of writing interview memoranda, investigation reports, and referral memoranda;

• Providing litigation support to District Attorneys, Assistant State Attorneys General, and/or Assistant U.S Attorneys;

• Updating and maintaining internal management databases.

Minimum Qualifications, Substitutions, Conditions of Employment & Appeal Rights

Minimum Qualifications (MQs):

• Graduation from an accredited college or university with a bachelor's degree in business, accounting, criminology, criminal justice, law enforcement, law, finance, or a closely related field; AND

• One (1) year of professional* investigative experience in the areas of white-collar crime or financial fraud.

• Investigative experience must include the following:

• Gathering, interpreting, and/or analyzing evidence, data, and relevant facts in complex cases, and applying applicable laws;

• Distinguishing between relevant and irrelevant evidence, and preparing analysis and recommendations;

• Fostering cooperation under potentially stressful situations with a variety of audiences; and

• Presenting clear and concise oral and written summaries of evidence.

Document this experience in your application IN DETAIL, as your experience will not be inferred or assumed. Part-time experience will be prorated.

Substitutions:

• Professional* investigative experience in the areas of white-collar crime or financial fraud, or in a field related to the assignment, will substitute for the bachelor's degree on a year-for-year basis.

• Professional work involves exercising discretion, analytical skill, judgment and personal accountability and responsibility for creating, developing, integrating, applying, and sharing an organized body of knowledge that characteristically is: uniquely acquired through an intense education or training regimen at a recognized college or university; equivalent to the curriculum requirements for a bachelor's or higher degree with major study in or pertinent to the specialized field; and continuously studied to explore, extend, and use additional discoveries, interpretations, and application and to improve data, materials, equipment, applications and methods.

Preferred Qualifications:

• Experience working in and understanding of the government agency or regulatory environment;

• Experience working in the securities industry, in a compliance office, or in a regulatory risk unit;

• Experience as a CPA or in an accounting field;

• Experience working with and knowledge of Securities Laws/Code and industry standards;

• Experience analyzing large data sets;

• Experience identifying trends or patterns that lead to the discovery of problematic activity;

• Certified Fraud Examiner;

• Experience vetting complaints or violations of securities regulations;

• Demonstrated ability to write reports that are organized and convey all relevant facts in a format that is easy for a diverse audience to understand;

• Experience with anti-money laundering or compliance monitoring;

• Experience with handling complaints related to crypto tracking and crypto wallet.

Required Competencies: The following knowledge, skills, abilities, and personal characteristics are required competencies and may be considered during the selection process (including examination and/or interview):

• Demonstrated verbal communication skills, including the ability to effectively convey information to audiences in a concise manner;

• Demonstrated writing skills, including the ability to convey information to various stakeholders in a clear, accurate, and concise written manner;

• Demonstrated attention to detail;

• Sound judgement, including the ability to determine the appropriate course of action on a daily basis;

• Critical thinking and analysis skills, including having the ability to evaluate evidence and analyze applicable information in order to apply knowledge and ensure compliance;

• Investigative skills to include recognizing discrepancies and gaps in interviews and clarifying and discerning relevant information;

• Ability to analyze complex business and financial records (e.g. profit & loss statements, trial balance sheets, accounts receivable/payable, etc.);

• Interpersonal skills, including the ability to work with a variety of different stakeholders, both internal and external;

• Demonstrated ability to read, understand, interpret, apply, and explain laws, rules, policies, and procedures;

• Demonstrated time management and organizational skills with the ability to multi-task, meet deadlines, and prioritize tasks;

• Customer service skills, including the ability to diplomatically interact with difficult customers and de-escalate situations when necessary;

• Ability to handle sensitive and/or highly confidential information in a professional and ethical manner, and in accordance with state and federal laws;

• Self-motivated, self-starter, reliable, and accountable;

• Demonstrated professional demeanor;

• Knowledge and understanding in the use of PC software applications, including Microsoft Office (Access, Word, Excel, etc.), and Google Suite (Docs, Sheets, Slides, etc.).

Conditions of Employment: Candidates who fail to meet the conditions of employment will be removed from consideration.

• The successful passing of a reference check and/or, if required, a background check.

• A reference check may include but is not limited to: contacting previous and current supervisors to verify employment and discuss performance, a review of the personnel file, a review of the performance record, etc.

• The type of background check depends on the job duties of the position, and can include a review of any criminal record, credit report, and/or driving record.

• Applicants must possess and maintain a valid State of Colorado driver's license and the ability and willingness to travel independently. You must include your State of Colorado driver's license number on your application in order to be considered. Travel is required up to 5% of the time, including traveling overnight and staying out over weekends when required.

Effective September 20, 2021, employees will be required to attest to and verify whether or not they are fully vaccinated for COVID-19. Employees who have not been fully vaccinated may be required to submit to serial testing in the future. Upon hire, new employees will have three (3) business days to provide attestation to their status with proof of vaccination. Vaccinated employees must provide proof of vaccination.Note: Fully Vaccinated means two (2) weeks after a second dose in a two-dose series of the COVID-19 vaccine, such as the Pfizer or Moderna vaccine, or two (2) weeks after the single-dose vaccine, such as Johnson & Johnson's Janssen vaccine, as defined by the State of Colorado's Public Health Order and guidance issued by the Colorado Department of Public Health & Environment.

Supplemental Information

PLEASE READ - Required Application Materials

Interested individuals must submit the following online:

1.A completed State of Colorado Application (log-in to your current NeoGov account or create a NeoGov account to complete the online application). Note: Incomplete applications, including incomplete work history sections or "see résumé," "see attachment," or "see addendum" statements, will not be accepted in lieu of a completed application form.

2.A current email address on your application, as all communication pertaining to this position will be conducted via email. Please set up your email to accept messages from info@governmentjobs.com and '@state.co.us' addresses, and check your email often. Note: The department cannot guarantee the successful delivery of email, including incorrect filtering into junk mail folders.

3.A detailed cover letter, explaining how you meet the required competencies and how your accomplishments, qualifications, skills, areas of expertise, personal characteristics, etc. make you a good fit for this position; you may also attach additional documents that demonstrate this.

Comparative Analysis Process: Structured Application Review

Part of, if not the entire, comparative analysis process for this position will involve a review of the information you submit in your application materials; Therefore, it is paramount that in the experience portion of your application and cover letter, you describe the extent to which you possess the education, experience, and competencies outlined in the job announcement as well as the required and/or preferred qualifications/competencies. You are also encouraged to attach additional documents to that effect. Failure to include adequate information or follow instructions may affect your score and prevent you from competing in subsequent measures used to arrive at a top group of applicants.

Veterans' Preference: Candidates who wish to assert Veterans' Preference should attach a copy of their DD-214 to their application. Failure to do so will result in being denied Veterans Preference.

PLEASE NOTE: Former State Personnel System employees who were disciplinarily terminated or resigned in lieu of termination must disclose this information on the application. Colorado Revised Statutes require that all state employees be hired and promoted through competitive examination of merit and fitness. Failure to include the required information, failure to follow instructions, and/or failure to submit materials by the application deadline may result in your application not being considered for the position and may affect your score or inclusion in the final pool of qualified candidates.

The State of Colorado believes that equity, diversity, and inclusion drive our success, and we encourage candidates from all identities, backgrounds, and abilities to apply. The State of Colorado is an equal opportunity employer committed to building inclusive, innovative work environments with employees who reflect our communities and enthusiastically serve them. Therefore, in all aspects of the employment process, we provide employment opportunities to all qualified applicants without regard to race, color, religion, sex, disability, age, sexual orientation, gender identity or expression, pregnancy, medical condition related to pregnancy, creed, ancestry, national origin, marital status, genetic information, or military status (with preference given to military veterans), or any other protected status in accordance with applicable law.

DORA is committed to the full inclusion of all qualified individuals. As part of this commitment, our agency will assist individuals who have a disability with any reasonable accommodation requests related to employment, including completing the application process, interviewing, completing any pre-employment testing, participating in the employee selection process, and/or to perform essential job functions where the requested accommodation does not impose an undue hardship. If you have a disability and require reasonable accommodation to ensure you have a positive experience applying or interviewing for this position, please direct your inquiries to our ADAAA Coordinator, Rachael Alkayali, at dora_hr@state.co.us or call (303) 894-2441.

APPEAL RIGHTS:

If you receive notice that you have been eliminated from consideration for this position, you may file an appeal with the State Personnel Board or request a review by the State Personnel Director.

An appeal or review must be submitted on the official appeal form, signed by you or your representative. This form must be delivered to the State Personnel Board by email (dpa_state.personnelboard@state.co.us), postmarked in US Mail or hand delivered (1525 Sherman Street, 4th Floor, Denver CO 80203), or faxed (303.866.5038) within ten (10) calendar days from your receipt of notice or acknowledgement of the department's action.

For more information about the appeals process, the official appeal form, and how to deliver it to the State Personnel Board; go to spb.colorado.gov; contact the State Personnel Board for assistance at (303) 866-3300; or refer to 4 Colorado Code of Regulations (CCR) 801-1, State Personnel Board Rules and Personnel Director's Administrative Procedures, Chapter 8, Resolution of Appeals and Disputes, at spb.colorado.gov under Rules.