Lead Securities Examiner (Financial/Credit Examiner III) - DORA: Division of Securities Hybrid
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About The Position
The purpose of this position is to perform the tasks of an examiner-in-charge (EIC), who is assigned to support the chief examiner by becoming the Examination Section subject matter expert and develop and lead a training program for new field examiners. The position regularly interacts with stakeholders, including division management, staff members, applicants, licensees, and members of the public with respect to securities examinations and licensing. As an examiner-in charge, the position analyzes and makes recommendations to improve the examination processes, serves as a resource to other examiners who have complex examinations or examination questions, trains new examiners, and conducts examinations of licensees. Examinations include reviewing the books of records of licensed investment advisers and broker dealers analyzing databases, narrative disclosure documents, and all information gathered/submitted during an examination. The position answers inquiries from the public and the industry regarding the Colorado Securities Act, the Colorado Commodities Code, and the Colorado Municipal Bond Supervision Act; supports licensing examiners; and devotes more time and resources in shifting areas (i.e. examinations, licensing, registrations, etc.) as needed by the business and as directed by the chief examiner.
