Securities Fraud Investigator III (Criminal Investigator III) - DORA: Division of Securities Hybrid

State of Colorado•Denver, CO

1d•Hybrid

About The Position

This work unit exists to protect the investing public and stop illegal conduct through the identification and investigation of complex securities fraud schemes. The work unit reviews complaints and referrals, opens and investigates cases, and makes referrals for enforcement actions when appropriate. The investigations involve obtaining evidence of potential violations, identifying grounds for statutory disqualification or appropriate administrative, civil or criminal sanctions, and assisting in litigation and post-conviction appeal processes. The range of enforcement actions includes issuing a warning letter, obtaining a cease-and-desist order from the Securities Commissioner, obtaining injunctive relief, restitution and sanctions from the Denver District Court, and referring the case to criminal prosecutors for criminal sanctions and assisting with the prosecution of the case. This position exists to conduct complex criminal and civil investigations of violations of the Colorado Securities Act and/or the Colorado Commodities Code. This position provides 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 interpret 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.

Requirements

Six (6) years of professional investigative experience in the areas of white-collar crime or financial fraud.
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.
Presenting clear and concise oral and written summaries of evidence.
Associate’s Degree and Four (4) years of professional investigative experience in the areas of white-collar crime or financial fraud.
Bachelor’s Degree and Two (2) years of professional investigative experience in the areas of white-collar crime or financial fraud.
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.
Customer service skills, including the ability to diplomatically interact with difficult customers and de-escalate situations when necessary.
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.
Investigative skills to include recognizing discrepancies and gaps in interviews and clarifying and discerning relevant information.
Knowledge of Colorado Securities Act, the Colorado Commodities Code, and federal securities laws/rules.
Knowledge and understanding of a government or regulatory environment.
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.
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, Calendar, etc).
Must possess and maintain a valid State of Colorado driver's license.

Nice To Haves

Demonstrated litigation or criminal prosecution experience, including working with civil, administrative, and criminal law procedures and testifying in litigated proceedings.
Demonstrated experience with the securities industry and relevant laws and regulations, including securities registrations and the requirements for investment advisers, broker-dealers, and the associated representatives.
Demonstrated experience conducting financial investigations and/or examinations in a regulatory environment.
Demonstrated experience interviewing witnesses or taking sworn testimony.
A master’s degree in law, finance, economics, statistics, mathematics, or business; a juris doctor or a Certified Fraud Examiner credential.
Experience analyzing large data sets or identifying trends that lead to the discovery of problematic activity.
Experience vetting complaints or violations concerning securities laws or 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 handling complaints related to crypto tracking and crypto wallets or exchanges.

Responsibilities

Conducting investigations of violations of the Securities Act and Commodities Code 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.
Preparing demonstrative evidence and exhibits, giving oral testimony in various administrative, civil and criminal proceedings, participating in hearing/trial strategy sessions, settlement conferences, and plea agreement conferences, performing the duties of an advisory witness during hearings/trials, and assisting with jury selection.
Acting as a resource specialist regarding securities violations that specifically address the issues of securities fraud as well as licensee violations, including whether the subject should have their license suspended or revoked.
Updating and maintaining internal management databases.

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.