Criminal Investigator I- DORA: Division of Securities

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Criminal Investigator I- DORA: Division of Securities

Salary

$5,279.00 - $7,391.00 Monthly

Location

Denver, CO

Job Type

Full Time

Job Number

SLA-8533/8532-6/2024

Department

Department of Regulatory Agencies

Division

Division of Securities

Opening Date

06/21/2024

Closing Date

7/8/2024 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

Thanh Pham: thanh.pham@state.co.us

Hiring Pay Rate

The salary range for this position is $63,348 - $88,692 annually ($5,279 - $7,391/monthly); hiring pay for the position is expected to be between $63,348 - $88,692 annually ($5,279 - $7,391/ monthly), but will be set based on the qualifications of the candidate appointed.

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 is a progressive, innovative government agency where employees and customers alike are valued. If you are interested in becoming a part of an environment where creative thinking, customer service, and protecting consumers through healthy regulation is valued, DORA is the place for you! In addition to rewarding, challenging, and meaningful work, the State of Colorado at the Department of Regulatory Agencies offers an excellent total compensation package including:

• 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.

Description of Job

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, Substitutions, Conditions of Employment & Appeal Rights

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 applicationIN 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 substitute 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, applications and methods.

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.

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

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

• Demonstrated attention to detail;

• Sound judgement, including the ability to determine the appropriate course of action on a daily basis;

• Critical thinking and analysis skills, including having the ability to evaluate evidence and analyze applicable information in order to apply knowledge and ensure compliance;

• Investigative skills to include recognizing discrepancies and gaps in interviews and clarifying and discerning relevant information;

• Ability to analyze complex business and financial records (e.g. profit & loss statements, trial balance sheets, accounts receivable/payable, etc.);

• Interpersonal skills, including the ability to work with a variety of different stakeholders, both internal and external;

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

• Demonstrated time management and organizational skills with the ability to multi-task, meet deadlines, and prioritize tasks;

• Customer service skills, including the ability to diplomatically interact with difficult customers and de-escalate situations when necessary;

• Ability to handle sensitive and/or highly confidential information in a professional and ethical manner, and in accordance with state and federal laws;

• Self-motivated, self-starter, reliable, and accountable;

• Demonstrated 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.).

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, 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.

• Applicants 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. Travel is required up to 5% of the time, including traveling overnight and staying out 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 & Johnson’s Janssen vaccine, as defined by the State of Colorado’s Public Health Order and guidance issued by the Colorado Department of Public Health & Environment.

Supplemental 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 addresson 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 their DD-214 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.

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 ( dpa_state.personnelboard@state.co.us ), postmarked in US Mail or hand delivered ( 1525 Sherman Street, 4th Floor, Denver CO 80203 (https://www.google.com/maps/search/1525+Sherman+Street,+4th+Floor,+Denver+CO+80203?entry=gmail&source=g) ), or faxed (303.866.5038) within ten (10) calendar days from your receipt of notice or acknowledgement 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 ; contact the State Personnel Board for assistance at (303) 866-3300; 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: This position requires the ability to travel up to 5% of the time, including traveling overnight and staying over occasionally on weekends when required. In order to be considered for this position, you must possess and maintain a valid State of Colorado driver's license. Please provide your Colorado driver's license number in the space provided.

  08

  DORA Q8: Please explain in detail how you meet the following minimum qualifications: 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.

  09

  DORA Q9: Please explain in detail how you meet the following minimum qualifications: One (1) year of professional* investigative experience in the areas of white-collar crime or financial fraud. Investigative experience must include the following: I. Gathering, interpreting, and/or analyzing evidence, data, and relevant facts in complex cases, and applying applicable laws; II. Distinguishing between relevant and irrelevant evidence, and preparing analysis and recommendations; III. Fostering cooperation under potentially stressful situations with a variety of audiences; and IV. Presenting clear and concise oral and written summaries of evidence.

  10

  DORA Q10: Please explain in detail how you meet the following preferred qualifications: Experience working in and understanding of the government agency or regulatory environment.

  11

  DORA Q11: Please explain in detail how you meet the following preferred qualifications: Experience working in the securities industry, in a compliance office, or in a regulatory risk unit.

  12

  DORA Q12: Please explain in detail how you meet the following preferred qualifications: Experience as a CPA or in an accounting field.

  13

  DORA Q13: Please explain in detail how you meet the following preferred qualifications: Experience working with and knowledge of Securities Laws/Code and industry standards.

  14

  DORA Q14: Please explain in detail how you meet the following preferred qualifications: Experience analyzing large data sets.

  15

  DORA Q15: Please explain in detail how you meet the following preferred qualifications: Experience identifying trends or patterns that lead to the discovery of problematic activity.

  16

  DORA Q16: Please explain in detail how you meet the following preferred qualifications: Certified Fraud Examiner.

  17

  DORA Q17: Please explain in detail how you meet the following preferred qualifications: Experience vetting complaints or violations of securities regulations.

  18

  DORA Q18: Please explain in detail how you meet the following preferred qualifications: 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.

  19

  DORA Q19: Please explain in detail how you meet the following preferred qualifications: Experience with anti-money laundering or compliance monitoring.

  20

  DORA Q20: Please explain in detail how you meet the following preferred qualifications: Experience with handling complaints related to crypto tracking and crypto wallet.

  21

  DORA Q21: 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?

• Yes

• No

  22

  DORA Q22: The salary range posted for this position is $63,348 - $88,692 annually ($5,279 - $7,391 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.

  23

  DORA Q23: 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

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State of Colorado

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