Forensic Auditor; Auditor III): DORA​/Division of Securities - Hybrid

Forensic Auditor

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 Enforcement work unit exists to protect the investing public and to stop illegal conduct through the identification and investigation of complex securities 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 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 litigation.

Position: SLA 8537

The Forensic Auditor position exists to plan, manage, and perform complex investigative audit projects directly related to investigations conducted by the Division's Enforcement Unit. This includes formulating technical processes comprised of reducing complex financial records into simplified parts for analysis, from which conclusions can be drawn. The position must also evaluate procedures and principles and interpret and reconstruct a business entity's or individual's financial books, records, and ledgers in order to determine if such analysis would support violations 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 the 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 examinations.

Minimum Qualifications, Substitutions, Conditions of Employment & Appeal Rights

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

• Seven (7) years of relevant full-time professional
  * auditing experience in the financial industry or in a government agency 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 and/or fraud;
• Conducting audits of financial records.

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 accounting, business, criminal justice, economics, finance, law, law enforcement, mathematics, or a field of study related to the work assignment; AND
• Five (5) years of relevant full-time professional
  * auditing experience in the financial industry or in a government agency 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 and/or fraud;
• Conducting audits of financial records.
• Current, valid licensure as a CPA from the Colorado Board of Accountancy or current, valid CIA certificate will substitute for five (5) years of the requirement.

OR

• Bachelor's Degree and Experience :
  Graduation from an accredited college or university with a bachelor's degree in accounting, business,…