Job Information
Colorado Department Of Regulatory Agencies Criminal Investigator I- DORA: Division Of Securities in Denver, Colorado
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.
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(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 subst tute 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, app
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.