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

Department Information

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.

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 Eco Pass, 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.

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.

SLA 8537.

The Auditor III 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 allegations of the Colorado Securities Act and the Colorado Commodities Code.

• 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…