Chief Investigator (Criminal Investigator V): DORA/Division of Securities

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.

The salary range posted for this position is $8,194 - $9,830/monthly; although a salary range is listed, hiring salary will be set commensurate with the successful candidate's qualifications and in compliance with the Equal Pay for Equal Work Act.

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.

Check out our excellent benefits package!

DORA's Division of Securities protects investors and maintains public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.

This work unit exists to protect the investing public and stop illegal conduct through the identification and investigation of potential violations of the Colorado Securities Act and Commodities Code with a focus on complex securities fraud schemes used to defraud the public. The work unit reviews complaints and referrals, opens and investigates cases, , and if appropriate, refers cases for formal enforcement actions. The investigations involve obtaining evidence of potential violations, reviewing bank records and interviewing investors, identifying grounds for appropriate administrative, civil and criminal sanctions, drafting clear referral memorandums for prosecutors, and assisting in litigation and post-conviction appeal processes. The range of enforcement actions includes issuing a warning letter, obtaining a cease-and-desist order from the Securities Commissioner, obtaining injunctive relief and monetary damages from the Denver District Court, and referring the case to criminal prosecutors for criminal sanctions.

Position: SLA 98530

This position is a leadership position which oversees the Enforcement Section to ensure the execution of the Division's enforcement mission, directs the investigative program, applies expertise to supervise subordinate investigators and auditors, conducts specialized investigations, and ensures that the Enforcement Section utilizes its resources in the most efficient manner.

Duties include, but are not limited to:

• Provide advice, participate in, and direct investigations conducted by staff in pursuing informal and formal enforcement action against violators of the Colorado Securities Act and associated rules;
• Supervise the investigators to ensure that all matters brought to the attention of the Division are reviewed and handled efficiently;
• Assign cases and oversee the case management system to effectively manage enforcement caseload, tracking case status, distributing workload, balancing resources, and maintaining statistics;
• Conduct investigations of alleged violations of applicable securities laws for complex cases which require a high level of expertise;
• Determine whether a criminal or civil referral is warranted given the circumstances;
• Works with state and federal partners to prosecute civil/ administrative and criminal cases.

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

• 10 (ten) years of full-time professional* securities and/or investigative experienceas part of a government body, or in a financial or legal environment conducting the following:
  • Audits, examinations, and/or investigations of financial misconduct or to determine compliance.
• Of the 10 (ten) years of experience, 1 (one) year must have been at the level of a **work leader, ***staff authority, ****unit supervisor, or equivalent.

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 criminology, criminal justice, law enforcement, law, finance, or a closely related field; AND
• Eight (8) years of full-time professional* securities and/or investigative experienceas part of a government body, or in a financial or legal environment conducting the following:
  • Audits, examinations, and/or investigations of financial misconduct or to determine compliance.
• Of the Eight (8) years of experience, 1 (one) year must have been at the level of a **work leader, ***staff authority, ****unit supervisor, or equivalent.

OR

• Bachelor’s Degree and Experience: Graduation from an accredited college or university with a bachelor's degree in criminology, criminal justice, law enforcement, law, finance, or a closely related field; AND
• Six (6) years of full-time professional* securities and/or investigative experienceas part of a government body, or in a financial or legal environment conducting the following:
  • Audits, examinations, and/or investigations of financial misconduct or to determine compliance.
• Of the six (6) years of experience, 1 (one) year must have been at the level of a **work leader, ***staff authority, ****unit supervisor, or equivalent.

*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.

**Work leader experience requires being partially accountable for the work product of two (2) or more full-time equivalent positions, including timeliness, correctness and soundness. Typical elements of direct control over other positions by a work leader include assigning tasks, monitoring progress and work flow, checking the product, scheduling work, and establishing work standards. The work leader provides input into supervisory decisions made at higher levels, including signing leave requests and approving work hours.

***The staff authority is a pacesetter who has a unique level of technical expertise in a field or profession that, as part of the assignment, is critical to the success of an agency. This authority directly influences management decisions at least on an agency-wide basis. Managers and peers recognize and seek this level of technical guidance and direction for development of an agency-wide system or regarding the application of a statewide system within the agency or to its clients.

****Unit supervisor experience requires accountability for the quality and quantity of work of a minimum of three (3) full-time employees of the organization; responsibility for making decisions that affect the pay, status and/or tenure of subordinates; and authority in the hiring, performance planning and evaluation and progressive discipline processes.

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

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 two (2) years of the required experience.

Preferred Qualifications:

• A master’s degree in law, finance, economics, statistics, mathematics, business; or juris doctorate;
• Conflict and change management experience, including leading employees/subordinates and eliciting their buy-in to new information, processes, changing conditions, or unexpected obstacles, and adjusting rapidly to new situations warranting attention and resolution;
• Demonstrated experience conducting financial investigations and/or examinations in a regulatory environment;
• Demonstrated experience with the securities industry and relevant laws and regulations including securities registrations and the requirements for investment advisers, broker-dealers, and the associated representatives;
• Demonstrated experience managing a program area or work unit by overseeing daily operations, ensuring reports are accurate and complete, and communicating with stakeholders;
• Demonstrated litigation experience, including working with civil procedure, administrative, criminal law and testifying in litigated proceedings;
• Demonstrated experience enhancing customer service across a team, and/or improving processes across a team to minimize regulatory or compliance burdens.

• Demonstrated experience working in a high stress, fast-paced, high-profile environment and adapting to shifting priorities;
• Demonstrated experience with managing large caseloads and working with a caseload management system.
• Drafting investigative and/or legal documents;
• Experience collaborating with law enforcement and other regulatory agencies on casework.

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 needs 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.

PLEASE READ - Required Application MaterialsInterested 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 theirDD-214to 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 strives to create a Colorado for All by building and maintaining workplaces that value and respect all Coloradans through a commitment to equal opportunity and hiring based on merit and fitness.

The State is resolute in non-discriminatory practices in everything we do, including hiring, employment, and advancement opportunities.

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, atdora_adacoordinator@state.co.us.

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 tospb.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.govunder Rules.