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

State of Colorado•Denver, CO

3d•Hybrid

About The Position

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. 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.

Requirements

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.
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.
Bachelor’s Degree and Experience : Graduation from an accredited college or university with a bachelor's degree in accounting, business, criminal justice, economics, finance, law, law enforcement, mathematics, or a field of study related to the work assignment; AND Three (3) 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 Certified Public Accountant (CPA) by the Colorado State Board of Accountancy.
Demonstrated written communication skills, including the ability to convey information to various stakeholders in a clear, accurate, and concise written manner
Demonstrated verbal communication skills, including the ability to effectively convey information to audiences in a concise manner
Demonstrated attention to detail
Demonstrated critical thinking and analytical skills, including having the ability to evaluate information in order to apply knowledge and to decide on the most appropriate course of action
Demonstrated prioritization skills, including planning, organizing tasks, and managing work assignments
Demonstrated time management skills, including the ability to multi-task to effectively manage competing and constantly changing priorities in order to meet tight deadlines
Demonstrated ability to understand and abide by workplace principles, practices and behaviors as internally identified and defined by the division and department
Demonstrated ability to read, understand, interpret, apply, and explain laws, rules, policies, and procedures
Sound judgment and the confidence to make decisions on a routine basis
Ability to travel independently, including work in-office, as required by business need and scheduled by the supervisor
Integrity and high ethical standards
Accountability, reliability, including attendance
Ability to maintain confidential, controversial, or sensitive information
Self-starter, including the ability to work independently, learn new processes, utilize own knowledge and that of supervisor, and complete work with minimal supervision
Demonstrated professional demeanor
Knowledge and understanding in the use of PC software applications including Microsoft Office (Access, Word, Excel, etc.), and Google Suite (Doc’s, Sheets, Slides, etc)

Nice To Haves

Demonstrated professional experience working in a state government position conducting audits 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 professional experience working in the financial securities industry, in a compliance office, or a regulatory risk unit
Experience working as a Certified Fraud Examiner (CFE), Forensic Accountant, and/or Certified Internal Auditor (CIA)
Demonstrated experience testifying and presenting findings related to financial transactions (financial and/or accounting records)
Demonstrated experience writing reports that convey all relevant facts in a format that is easy for a diverse audience to understand
Demonstrated professional experience working with and knowledge of generally accepted accounting principles (GAAP) and practices, and federal and state financial institution regulations.

Responsibilities

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
Providing expertise regarding financial statements or other financial documents obtained by the Division’s examinations

Benefits

Employer-sponsored RTD EcoPass
Flexible schedules
Training and professional development opportunities
Employee wellness programs
Colorado State Employee Assistance Program (CSEAP)
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.