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Auditor III: DORA/Division of Securities
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Auditor III: DORA/Division of Securities
Salary
$5,675.00 - $7,378.00 Monthly
Location
Denver, CO
Job Type
Full Time
Job Number
SLA-8541-4/24
Department
Department of Regulatory Agencies
Division
Division of Securities
Opening Date
04/24/2024
Closing Date
5/8/2024 11:59 PM Mountain
FLSA
Determined by Position
Type of Announcement
This position is open only to Colorado state residents.
Primary Physical Work Address
1560 Broadway, Denver, CO 80202
Department Contact Information
Monique Ford: monique.ford@state.co.us
How To Apply
Please submit an online application for this position at https://www.governmentjobs.com/careers/colorado. Reach out to the Department Contact to apply using a paper application, including any supplemental questions. Failure to submit a complete and timely application may result in the rejection of your application. Applicants are responsible for ensuring that application materials are received by the appropriate Human Resources office before the closing date and time listed.
Description
Benefits
Questions
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 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.
Description of Job
The Division of Securities protects investors by investigating cases of potential investment fraud, examining licensed investment advisers and stockbrokers, and conducting outreach and educational presentations.
The Enforcement 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. Additionally, this work unit assists prosecutors and civil litigation attorneys at the Colorado Attorney General’s Office with litigation.
Position : SLA 8541
The auditor position exists to plan, manage, and perform complex investigative audit projects directly related to investigations conducted by the Division’s Enforcement Unit including, formulating technical processes consisting of reducing complex financial records into simplified parts for analysis from which conclusions can be drawn. This position also evaluates procedures and principles; interprets and reconstructs business entities or individual financial books, records, and ledgers; and determines 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 examination section in the course of their broker-dealer and/or other examinations.
Minimum Qualifications, Substitutions, Conditions of Employment & Appeal Rights
MINIMUM QUALIFICATIONS (MQs):
A bachelor's degree in business, accounting, finance, economics, law, criminal justice, law enforcement, or in a closely related field; AND
Three (3) years of professional* auditing (financial or internal), financial examination, or data analysis experience 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;
Conducting audits of financial records.
*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.
Document this experience in your application IN DETAIL , as your experience will not be inferred or assumed. Part-time experience will be prorated.
SUBSTITUTIONS:
A combination of professional* work experience in the occupational field or specialized subject area of the work assigned to the job, which provided the same kind, amount, and level of knowledge acquired in the required education, may be substituted on a year-for-year basis for the bachelor's degree;
A master's degree in accounting, finance, or business administration from an accredited college or university in a field of study related to the work assignment may be substituted for the experience on a year-for-year basis;
Current, valid licensure as a CPA from the Colorado Board of Accountancy or a current, valid CIA certificate will substitute for five (5) years of the requirement.
Preferred Qualifications:
Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), and/or Certified Internal Auditor (CIA);
Demonstrated state experience auditing 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 experience testifying and presenting findings related to financial transactions (financial and/or accounting records);
Demonstrated experience in presenting technical information and/or answering a wide range of technical questions to a variety of audiences using layman’s terms;
Demonstrated experience writing reports that convey all relevant facts in a format that is easy for a diverse audience to understand;
Experience working with and knowledge of the Colorado Securities Act;
Demonstrated experience working with Generally Accepted Accounting Principles (GAAP), and federal and state financial institution regulations;
Demonstrated experience in the securities industry working with fraud cases ensuring compliance with policies and procedures.
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 and writing skills including the ability to create internal and external communications in a clear, accurate, and concise manner;
Demonstrated technical writing skills including the ability to prepare and review reports for accuracy and completeness;
Demonstrated knowledge of Generally Accepted Accounting Principles (GAAP);
Demonstrated creativity and flexibility, including the ability to adapt to shifting priorities and additional work assignments in a fast-paced work environment;
Demonstrated critical thinking skills including the ability to evaluate and analyze information to determine the most appropriate course of action;
Keen attention to detail;
Demonstrated problem-solving skills;
Demonstrated ability to read, interpret, and apply laws, rules, and regulations;
Professional demeanor, including the ability to interact professionally with various stakeholders and internal staff;
Demonstrated ability to effectively manage stressful interactions and prioritize tasks while collaborating with stakeholders, communicating clearly and concisely;
Demonstrated ability to manage competing priorities;
Demonstrated organizational skills including the ability to track and monitor strict deadlines and prioritize own workload;
Ability to speak and/or present comfortably in front of various groups;
Demonstrated confidence and sound judgment, including the ability to make decisions on a routine basis;
Ability to maintain confidential, controversial, or sensitive information;
Demonstrated accountability and reliability, for own work and related actions, including attendance;
Demonstrated interpersonal skills including the ability to build consensus with both internal and external stakeholders;
Knowledge and understanding of the use of PC software applications, including Microsoft Office (Word, Excel, etc.) and Google Suite.
Please note that possession of a professional designation/ license/ licensure will not automatically qualify you for this position. Document the required experience in your application IN DETAIL , as your experience will not be inferred or assumed. Part-time experience will be prorated.
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 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.
Must possess and maintain a valid State of Colorado driver's license. This position requires the ability to travel up to 5% of the time
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 most recent State of Colorado’s Public Health Order and current guidance issued by the Colorado Department of Public Health & Environment.
Supplemental Information
PLEASE READ - Required Application Materials
Interested individuals must submit the following online:
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.
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.
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 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, 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, 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.
The State of Colorado offers permanent employees a variety of benefits including medical, dental, life and disability insurance, as well as a comprehensive leave program. Please click the following link for detailed information: www.colorado.gov/pacific/dhr/benefits
Please note that each agency's contact information is different; therefore, we encourage all applicants to view the full, official job announcement which includes contact information and class title. Select the job you wish to view, then click on the "Print" icon.
01
DORA Q1: Please provide your Social Security Number. NOTE: This information will be kept strictly confidential and is only accessible to Human Resources Personnel.
02
DORA Q2: Are you a current or previous State of Colorado employee? Enter "yes" or "no" in the space provided. If "yes", enter 1) the State agency name, 2) dates of employment, and 3) your official classification title.
03
DORA Q3: If you are a current or former State of Colorado classified employee, have you ever been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation)? NOTE: Current and former State Personnel System employees who were disciplinary terminated, resigned in lieu of termination, or who were deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation) must disclose this information on the application. Failure to disclose this information and/or falsification of application materials may result in being removed from consideration for this position.
N/A - I am not a current or former State of Colorado classified employee.
YES, I have been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation).
NO, I have NEVER been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation).
04
DORA Q4: Current or Former Classified Employees: Are you a transfer, non-disciplinary (voluntary) demotion, or reinstatement applicant?
Yes
No
N/A - I am not a current or former State of Colorado classified employee.
05
DORA Q5: VETERAN'S PREFERENCE NOTE: If you are not eligible for/seeking Veteran's Preference, please skip down to the bottom and select option "N/A". REQUIRED DOCUMENTATION: Candidates who wish to assert Veterans' Preference should attach a copy of their DD214 reflecting dates of service, type of discharge, and, if appropriate, a campaign badge or service medal. If information regarding a campaign badge or service medal is necessary to award preference points and is not reflected on the DD214, other documents reflecting the grade or medal must be provided. Other types of documentation may be required for ten point preference. *Note 1: For a complete list of service dates and campaigns used in awarding preference points visit: http://www.opm.gov/veterans/html/vgmedal2.htm Note 2: Medal holders and Gulf War veterans who originally enlisted after September 7, 1980, or entered active duty on or after October 14, 1982, without having previously completed 24 months of continuous active duty; must have served continuously for 24 months or the full period called or ordered to active duty. *Note 3: Effective October 1, 1980, military retirees at or above the rank of major or equivalent, are not entitled to preference unless they qualify as disabled veterans. Reservists who are retired from the Reserves but are not receiving retirement pay are not considered "retired military" for purposes of veterans' preference. REMINDER: Proof of eligibility must be provided before points are allowed. Please attach documentation to your application. If you have not done so, please go back and do so now. Veteran's Preference points WILL NOT be applied without the appropriate documentation. PLEASE CHECK ALL THAT APPLY:
N/A - I am not eligible for/seeking Veteran's Preference.
A) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During any war declared by Congress
B) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During the period April 28, 1952, through July 1, 1955;
C) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: For more than 180 consecutive days, any part of which occurred after January 31, 1955, and before October 15, 1976;
D) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During the Gulf War period beginning August 2, 1990, and ending January 2, 1992;
E) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: For more than 180 consecutive days, any part of which occurred during the period beginning September 11, 2001, and ending on the date prescribed by Presidential proclamation or by law as the last day of Operation Iraqi Freedom; or,
F) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: In a campaign or expedition for which a campaign medal has been authorized*, such as El Salvador, Lebanon, Granada, Panama, Southwest Asia, Somalia, and Haiti.
G) I have served on active duty in the Armed Forces at any time and have a present service connected disability or are receiving compensation, disability retirement benefits, or pension from the military or the Department of Veterans Affairs; or
H) I am a Purple Heart recipient;
I) I am the spouse of a veteran unable to work because of a service-connected disability;
J) I am the unmarried widow/widower of certain deceased veterans; and
K) I am the mother of a veteran who died in service or who is permanently and totally disabled.
06
DORA Q6: Part of the required application materials includes 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. Q: Have you included this cover letter as an attachment to your application? (If not, you may go back and do so now). Yes, I have attached the required cover letter explaining how I meet the required competencies and how my accomplishments, qualifications, skills, areas of expertise, personal characteristics, etc. make me a good fit for this position; I may also attach additional documents that demonstrate this. No, I have not attached the required cover letter to my application. Note: I understand that failure to include this information and follow instructions may prevent me from competing in subsequent measures used to arrive at a top group of applicants.
Yes
No
07
DORA Q7: Do you currently possess a bachelor's degree in business, accounting, finance, economics, law, criminal justice, law enforcement, or a field of study directly related to the work assignment? If so, please list the type of degree below.
08
DORA Q8: Please explain in detail how you meet the following minimum qualifications: Three (3) years of professional* financial services auditing experience in the financial industry or in a government agency performing any of the following: I. Gathering, interpreting, and/or reviewing financial transactions and supporting documentation (ex. Financial or accounting records) necessary for analysis of financial information; II. Conducting audits of financial records.
09
DORA Q9: Please explain in detail how you meet the following preferred qualifications: Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), and/or Certified Internal Auditor (CIA).
10
DORA Q10: Please explain in detail how you meet the following preferred qualifications: Demonstrated state experience auditing and utilizing databases, including compiling, updating, analyzing, and tracking data.
11
DORA Q11: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience working in a fast-paced, high-volume environment and adapting to shifting priorities, as needed.
12
DORA Q12: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience testifying and presenting findings related to financial transactions (financial and/or accounting records).
13
DORA Q13: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience in presenting technical information and/or answering a wide range of technical questions to a variety of audiences using layman's terms.
14
DORA Q14: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience writing reports that convey all relevant facts in a format that is easy for a diverse audience to understand.
15
DORA Q15: Please explain in detail how you meet the following preferred qualifications: Experience working with and knowledge of the Colorado Securities Act.
16
DORA Q16: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience working with Generally Accepted Accounting Principles (GAAP), and federal and state financial institution regulations.
17
DORA Q17: Please explain in detail how you meet the following preferred qualifications: Demonstrated experience in the securities industry working with fraud cases ensuring compliance with policies and procedures.
18
DORA Q18: Eventually this position may work in an office environment full-time, but currently because of the pandemic and our emergency procedures, this position works both from home and on-site throughout the week (as needed or required by the division/department). Would you be able to do this?
19
DORA Q19: The salary range posted for this position is (Ex. $68,100 - $88,536 annually ($5,675 - $7,378/monthly); while appointments are typically made at or near the range minimum, the salary will be set based on the qualifications of the candidate appointed and relevant factors. Please share your salary expectations below.
20
DORA Q20: If you move forward in this process and are selected for this position, what is the earliest date that you would be able to start?
Required Question
Agency
State of Colorado
Address
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Website
https://careers.colorado.gov/
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