Forensic Auditor (Auditor III): DORA/Division of Securities - Hybrid

Full Job Description

Hybrid Workplace Arrangement:

Although this position will be designated under the department’s hybrid workplace program, it will still be required to report to the department office on a scheduled basis and at the discretion of the supervisor, based on business need.

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 values and promotes diversity, supporting a workplace that is inclusive of people from different backgrounds and experiences; creating an environment that is reflective of our communities; promoting positive relationships; and putting forth unique perspectives to fulfill our mission.

• 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 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.

Requirements

The Division of Securities exists to protect investors and maintain confidence in the securities market while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors.

The Enforcement work unit exists to protect the investing public and to stop illegal conduct, through the identification and investigation of complex securities schemes used to defraud the public.

This work unit reviews complaints and referrals received from a variety of sources, investigate potential violations of the Colorado Securities Act 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 litigation.

Position: SLA 8537

The Auditor III position exists to plan, manage, and perform complex investigative audit projects directly related to investigations conducted by the Division’s Enforcement Unit.

This includes formulating technical processes comprised of reducing complex financial records into simplified parts for analysis from which conclusions can be drawn.

The position must also evaluate procedures and principles and interpret and reconstruct a business entity’s or individual’s financial books, records, and ledgers in order to determine if such analysis would support allegations of the Colorado Securities Act and the Colorado Commodities Code.

Duties include, but are not limited to:

• Completing accurate and relevant compilations of financial information with guidance from the senior staff auditor;

• Preparing written internal communications regarding the completed financial analysis;

• Providing expertise regarding analysis of financial statements or other financial documents obtained through investigation;

• Preparing professional-quality and error-free exhibits for formal presentation;

• Testifying professionally, accurately, and truthfully in legal proceedings regarding financial investigations;

• Reviewing financial statements associated with securities offerings or license applications being reviewed by the examination section when requested; and

• Providing expertise regarding financial statements or other financial documents obtained by the Division’s examinations.

Qualifications

MINIMUM QUALIFICATIONS (MQs):

There are two ways to qualify for this position: 1) Experience OR 2) A Combination of Education and Experience

Option 1: Experience

Seven (7) years of relevant full-time professional* auditing experience in the financial industry or in a government agency performing any of the following:Gathering, interpreting, and/or reviewing financial transactions and supporting documentation (ex.

financial or accounting records) necessary for analysis of financial information and/or fraud;

Option 2: A Combination of Education AND Experience

• Associate’s Degree and Experience: Graduation from an accredited college or university with an associate’s degree in accounting, business, criminal justice, economics, finance, law, law enforcement, mathematics, or a field of study related to the work assignment; AND

Five (5) years of relevant full-time professional* auditing experience in the financial industry or in a government agency performing any of the following:Gathering, interpreting, and/or reviewing financial transactions and supporting documentation (ex.

financial or accounting records) necessary for analysis of financial information and/or fraud;

• Conducting audits of financial records.

OR

• Bachelor’s Degree and Experience: Graduation from an accredited college or university with a bachelor's degree in accounting, business, criminal justice, economics, finance, law, law enforcement, mathematics, or a field of study related to the work assignment; AND

Three (3) years of relevant full-time professional* auditing experience in the financial industry or in a government agency performing any of the following:Gathering, interpreting, and/or reviewing financial transactions and supporting documentation (ex.

financial or accounting records) necessary for analysis of financial information and/or fraud;

• Conducting audits of financial records.

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

Necessary Special Requirements:

• Current, valid licensure as a Certified Public Accountant (CPA) by the Colorado State Board of Accountancy.

SUBSTITUTIONS:

Partial credit toward the degree requirement will be given for completed college/university coursework that did not result in a degree.

A master's or doctorate degree from an accredited college or university in a field of study related to the work assignment will substitute for the bachelor's degree requirement.

*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:

• Demonstrated professional experience working in a state government position conducting audits and utilizing databases, including compiling, updating, analyzing, and tracking data;

• Demonstrated experience working in a fast-paced, high-volume environment and adapting to shifting priorities, as needed;

• Demonstrated professional* experience working in the financial securities industry, in a compliance office, or a regulatory risk unit;

• Experience working as a Certified Fraud Examiner (CFE), Forensic Accountant, and/or Certified Internal Auditor (CIA);

• Demonstrated experience testifying and presenting findings related to financial transactions (financial and/or accounting records);

• Demonstrated experience writing reports that convey all relevant facts in a format that is easy for a diverse audience to understand;

• Demonstrated professional* experience working with and knowledge of generally accepted accounting principles (GAAP) and practices, and federal and state financial institution regulations.

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

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

• Demonstrated attention to detail;

• Demonstrated critical thinking and analytical skills, including having the ability to evaluate information in order to apply knowledge and to decide on the most appropriate course of action;

• Demonstrated prioritization skills, including planning, organizing tasks, and managing work assignments;

• Demonstrated time management skills, including the ability to multi-task to effectively manage competing and constantly changing priorities in order to meet tight deadlines;

• Demonstrated ability to understand and abide by workplace principles, practices and behaviors as internally identified and defined by the division and department;

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

• Sound judgment and the confidence to make decisions on a routine basis;

• Ability to travel independently, including work in-office, as required by business need and scheduled by the supervisor;

• Integrity and high ethical standards;

• Accountability, reliability, including attendance;

• Ability to maintain confidential, controversial, or sensitive information;

• Self-starter, including the ability to work independently, learn new processes, utilize own knowledge and that of supervisor, and complete work with minimal supervision;

• Demonstrated professional demeanor;

• Knowledge and understanding in the use of PC software applications, including Microsoft Office (Access, Word, Excel, etc.), and Google Suite (Doc’s, 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, a review of job-related public information,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.

• Ability to travel independently, including work in-office, as required by business need and scheduled by the supervisor.

• This position requires the ability to travel up to 5% of the time, including staying over weekends when required; and the ability to transport equipment, including, but not limited to, laptop computers, printers, manuals, and supplies.

Additional 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.

Part of the comparative analysis process and/or the interview process may be conducted through remote video conferencing (i.e. Google Meet, Zoom, etc.)

Veterans’ Preference: Candidates who wish to assert Veterans’ Preference should attach a copy of their DD214 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.

ADAAA Accommodations: 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, at dora_adacoordinator@state.co.us.

Check out our excellent benefits package!

THIS ANNOUNCEMENT MAY BE USED TO FILL MULTIPLE VACANCIES

While a salary range is posted for this position, an eventual salary offer is determined by a comprehensive salary analysis, which considers multiple factors including but not limited to education and experience compared to others in the organization doing substantially similar work.

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, US Mail, faxed or hand-delivered within ten (10) calendar days from your receipt of notice or acknowledgment 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 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.