Find Securities Compliance Examiner I (Financial|Credit Examiner I) - DORA: Division of Securities Job in Denver, CO, Colorado | Snaprecruit

Full-time

Denver, CO Colorado United States

Yes

• 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.

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 Examination Section work unit serves as an early warning system for investors by ensuring that securities firms are complying with the law and preventing dishonest and unethical sales practices. This work unit accomplishes this mission through the examination and licensing of securities professionals and ensuring compliance with the securities laws. This work unit conducts field and desk (remote) examinations or audits, and off-site monitoring of broker-dealers and investment advisers with the purpose of preventing and detecting unlawful behavior and ensuring compliance with industry standards and rules. The result of the audit can include comment letters, recommendations for corrective action, and referrals to enforcement for revocation of license proceedings, or civil or criminal enforcement actions. The purpose of this work unit includes the licensure of securities broker-dealers, investment advisers, investment adviser representatives, and sales representatives as well as registering securities offerings and exemptions in Colorado.

Position:SLA 8544

The purpose of this position is to conduct field and desk examinations, which include examining the books and records of licensees and answering inquiries from the general public and the industry regarding the Colorado Securities Act, the Colorado Commodity Code, and the Colorado Municipal Bond Supervision Act.

Duties include, but are not limited to:

• Conducting examinations of books and records of licensees that include review and analysis of financial statements, general ledgers, and documents required by the Colorado Securities Act, rules under the Colorado Securities Act, and federal regulations;
• Analyzing and interpreting statutes, rules, case laws, and other sources relevant to securities regulation;
• Working with others including licensees to bring them into compliance with relevant regulations;
• Responding to questions from the public regarding broker-dealers, investment advisers, and general securities inquiries;
• Responding to questions regarding Colorado securities laws from the regulated industry and other federal, state, and self-regulatory securities agencies;
• Preparing for each examination by performing analysis and due-diligence research tailored to the particular examinee; AND
• Requesting records, analyzing the records received, requesting additional information, and arriving at conclusions regarding whether the licensee's books and records are deficient in any aspect of securities laws and regulations.

• Graduation from an accredited college or university with a bachelor's degree in accounting, banking, economics, finance, mathematics, statistics, business or a closely related field; AND
• One (1) year of professional* work experience working in the securities or financial industry, and/or in a securities regulatory agency performing any of the following:
  • Internal auditing, compliance, sales, operations, and/or trade support; AND/OR
  • Conducting examinations and/or audits of financial institutions;
  • Examining financial records for accuracy, completeness, and compliance.

• 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, will substitute on a year-for-year basis for the bachelor's 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 required experience on a year-for-year basis.

• Masters degree in Business Administration or Juris Doctor;
• Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Internal Auditor (CIA);
• Experience working with and knowledge of the Colorado Securities Act, and federal and state financial institution regulations;
• Experience conducting examinations or acting as a legal or compliance advisor in the area of broker-dealer, investment adviser, or financial institution examinations or compliance;
• Experience conducting on-site and desk examinations of securities firms, their personnel and affiliated entities to determine compliance with state securities laws, rules, and regulations;
• Demonstrated experience working in the securities industry ensuring compliance with policies and procedures and/or experience working on sales or trade desk;
• Demonstrated experience conducting fraud investigations in a financial setting;
• Experience explaining securities products or investments to customers;
• Experience working with various customers in the securities industry such as securities broker-dealers, investment advisers, and investment adviser representatives.

The following knowledge, skills, abilities, and personal characteristics are required competencies and may be considered during the selection process (including examination and/or interview). Candidates who do not meet the required competencies will be removed from consideration.

• Demonstrated verbal communication skills, including the ability to effectively convey information to audiences in a concise manner;
• Demonstrated written communication skills, including the ability to convey information to various stakeholders in a clear, accurate, and concise written manner;
• Critical thinking and analysis skills including having the ability to evaluate and analyze information in order to apply knowledge and to decide on the most appropriate course of action;
• Demonstrated attention to detail;
• Decision-making ability to make numerous immediate, sound decisions on a routine basis;
• Project management and organizational skills including planning, prioritization, and time management in order to meet deadlines;
• Interpersonal skills, including the ability to collaborate and maintain relationships with internal and external stakeholders;
• Ability to conduct research and gather pertinent information;
• Proven ability to negotiate and facilitate difficult conversations, resulting in positive outcomes;
• Problem-solving skills, including the ability to review and analyze information in order to find solutions;
• Demonstrated ability to work with highly confidential information and understand its importance;
• Demonstrated ability to accept direction, take feedback, and implement guidance;
• Demonstrated ability to work in a high-stress, high-profile environment managing various stakeholders and discerning hidden agendas;
• Customer service skills, including the ability to diplomatically interact with difficult customers and deescalate;
• Knowledge of the Colorado Securities Act, the Colorado Commodities Code, the Colorado Municipal Bond Supervision Act, and federal securities regulations, rules under the Colorado Securities Act;
• Ability to read, understand, interpret, apply, and explain statutes, regulations, policies, and procedures;
• Creativity and flexibility, including the ability to multi-task, manage various workloads, and adapt to shifting priorities in a fast-paced work environment;
• Self-motivated, self-starter, reliable, and accountable;
• 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).

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.
  • 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. This position requires the ability to travel up to 10% of the time including staying 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 & Johnsons Janssen vaccine, as defined by the State of Colorados Public Health Order and guidance issued by the Colorado Department of Public Health & Environment.

Interested individuals must submit the following online: