Lead Securities Examiner (Financial/Credit Examiner III) - DORA: Division of Securities Hybrid Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4782059) Apply  Lead Securities Examiner (Financial/Credit Examiner III) - DORA: Division of Securities Hybrid Salary $6,138.00 - $7,978.00 Monthly Location Denver, CO Job Type Full Time Job Number SLA-8535-1/2025 Department Department of Regulatory Agencies Division Division of Securities Opening Date 01/07/2025 Closing Date 2/14/2025 11:59 PM Mountain FLSA Determined by Position Type of Announcement This position is open only to Colorado state residents. Primary Physical Work Address 1560 Broadway, Denver, CO 80202 Department Contact Information Thanh Pham: thanh.pham@state.co.us How To Apply Please submit an online application for this position at https://www.governmentjobs.com/careers/colorado. Reach out to the Department Contact to apply using a paper application, including any supplemental questions. Failure to submit a complete and timely application may result in the rejection of your application. Applicants are responsible for ensuring that application materials are received by the appropriate Human Resources office before the closing date and time listed. + Description + Benefits + Questions 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 needs. 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 EcoPass, 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. Check out our excellent benefits (https://dhr.colorado.gov/state-employees/state-of-colorado-employee-benefits) package! Description of Job 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 Examination Section work unit serves as an early warning system for investors by ensuring that securities firms are complying with the law and preventing dishonest and unethical sales practices that harm Colorado investors. The work unit accomplishes this mission through the examination and licensing of securities professionals and ensuring compliance with securities laws. The work unit conducts field and desk (remote) examinations or audits, and off-site monitoring of broker dealers and investment advisers with the purpose of preventing and detecting unlawful behavior and ensuring compliance with industry standards and rules. The result of the audit includes comment letters, recommendations for corrective action, and referrals to enforcement for revocation of license proceedings, or civil/criminal enforcement actions. The purpose of the work unit includes the licensure of securities broker-dealers, investment advisers, investment adviser representatives, and sales representatives as well as registering securities offerings and exemptions in Colorado. Position:SLA 8535 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. Duties include, but are not limited to: + Collecting information and determining the proper guidance or direction to give internally and/or to the public; + Reviewing various letters drafted by other Examiners before they are sent out to licensees; + Assisting other examiners with guidance on how to effectively navigate complex examinations or guidance on other issues facing examiners; + Training new examiners including on how to be effective and efficient with examination processes; + Assisting the chief examiner with various projects that may include internal process improvements and assessment of effectiveness with current internal practices; + Conducting examinations of books and records of licensees, including reviewing and analyzing financial statements, general ledgers, trade records, financial plans, supervisory procedures, cybersecurity policies, and other records that licensees are required to maintain; + Requesting records, analyzing the records received, requesting additional information and/or records, and arriving at conclusions regarding whether the licensee's books and records are deficient in any aspect of securities laws and regulations; + Providing support as a back-up to the lead licensing examiners who analyzes processes, approves, denies, or places limitations on licensing applicants (i.e. registered representatives, broker/dealers, investment advisers, investment adviser representatives, etc.); + Providing support as a backup to the licensing examiners by reviewing and processing application materials submitted by broker-dealers, sales representatives, investment advisers, and investment adviser representatives who are seeking a securities license, and ensuring they meet rules and regulations; AND + Providing support as a backup to the licensing examiners by sending written correspondence to gather information from the prospective licensees in order to better understand disclosed events or an application, in order to determine if it is appropriate to impose conditions upon the license, deny the application, or approve the application. 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 + Eight (8) years of full-time professional* work experience in a government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms, performing at least two (2) the following: + Internal auditing, compliance, sales, operations, and/or trade support; + Conducting examinations and/or audits of financial institutions; + Examining financial records for accuracy, completeness, and compliance; + Experience working with various customers such as securities broker-dealers, investment advisers, investment adviser representatives, and/or securities sales representatives. 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 finance, accounting, business administration, economics, statistics, mathematics, law, or a field of study related to the work assignment; AND + Six (6) years of full-time professional* work experience in a government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms, performing at least two (2) the following: + Internal auditing, compliance, sales, operations, and/or trade support; + Conducting examinations and/or audits of financial institutions; + Examining financial records for accuracy, completeness, and compliance; + Experience working with various customers such as securities broker-dealers, investment advisers, investment adviser representatives, and/or securities sales representatives. OR + Bachelor’s Degree and Experience:Graduation from an accredited college or university with a bachelor's degree in finance, accounting, business administration, economics, statistics, mathematics, law, or a field of study related to the work assignment; AND + Four (4) years of full-time professional* work experience in a government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms, performing at least two (2) the following: + Internal auditing, compliance, sales, operations, and/or trade support; + Conducting examinations and/or audits of financial institutions; + Examining financial records for accuracy, completeness, and compliance; + Experience working with various customers such as securities broker-dealers, investment advisers, investment adviser representatives, and/or securities sales representatives. Document this experience in your applicationIN DETAIL, as your experience will not be inferred or assumed. Part-time experience will be prorated. SUBSTITUTIONS: + Partial credit toward the degree requirement will be given for completed college/university coursework that did not result in a degree. A master's or doctorate degree from an accredited college or university in a field of study related to the work assignment will substitute for the bachelor's degree requirement. *Professional work involves exercising discretion, analytical skill, judgment and personal accountability and responsibility for creating, developing, integrating, applying, and sharing an organized body of knowledge that characteristically is: uniquely acquired through an intense education or training regimen at a recognized college or university; equivalent to the curriculum requirements for a bachelor's or higher degree with major study in or pertinent to the specialized field; and continuously studied to explore, extend, and use additional discoveries, interpretations, and application and to improve data, materials, equipment, applications and methods. Preferred Qualifications: + Master’s degree in Business Administration or Juris Doctor; + Certified Financial Planner (CFP), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Internal Auditor (CIA); + Demonstrated professional* experience working in the Colorado Division of Securities, government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms to ensure compliance with policies and procedures when conducting examinations and audits of financial institutions; + Demonstrated professional experience providing training or supervision to team members; + Demonstrated professional* experience working in a high-stress, fast-paced, high-volume environment, and adapting to shifting priorities; + Demonstrated ability to analyze documents for completeness, correctness, and/or compliance with securities laws, rules, policies, and procedures; + Demonstrated professional* experience conducting examinations or acting as a legal or compliance advisor in the area of broker-dealer, investment adviser, or financial institution examinations; + Demonstrated professional* experience conducting on-site and desk examinations of securities firms, their personnel and affiliated entities to determine compliance with state securities laws, rules, and procedures; + Demonstrated professional* experience examining books and records of licensees to ensure compliance with the Colorado Securities Act, the Colorado Commodities Code, the Colorado Municipal Bond Supervision Act, and/or federal securities regulations; + Demonstrated professional* experience working with or knowledge of Colorado Revised Statutes, Colorado Division of Securities Rules and Regulations, Colorado Securities Act, the Colorado Commodities Code, the Colorado Municipal Bond Supervision Act, and/or federal securities regulations; + Demonstrated professional* experience conducting fraud investigations in a financial setting. Required Competencies:The following knowledge, skills, abilities, and personal characteristics are required competencies and may be considered during the selection process (including examination and/or interview): + 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; + Sound judgment and the confidence to make decisions on a routine basis; + Interpersonal skills, including the ability to collaborate with various stakeholders; + 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 time management in order to meet deadlines; + Flexibility and ability to shift to the needs and circumstances of an examination, and ability to adapt to changing work assignments; + Customer service, including the ability to diplomatically interact with difficult customers and maintain communication with stakeholders; + Problem-solving skills, including the ability to identify potential problems and use internal guidance in order to find solutions to complex problems; + Ability to conduct research and gather pertinent information; + 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; + Ability to travel independently, including work in-office, as required by business need and scheduled by the supervisor; + Integrity and high ethical standards; + Dependability, reliability, and self-motivated: Regular and consistent work attendance is pivotal, as this position serves a critical role in the business of the department; + 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; + Proficiency in the use of PC software applications including Microsoft Office (Word, Excel, etc.), and Google Suite (Doc’s, Sheets, Slides, Calendar, etc). Conditions of Employment:Candidates who fail to meet the conditions of employment will be removed from consideration. + The successful passing of a reference check and/or, if required, a background check. + A reference check may include but is not limited to: contacting previous and current supervisors to verify employment and discuss performance, a review of the personnel file, a review of the performance record, etc. + The type of background check depends on the job duties of the position, and can include a review of any criminal record, credit report, and/or driving record. + Ability to travel independently, including work in-office, as required by business need and scheduled by the supervisor. + Applicants must possess and maintain a valid State of Colorado driver's license and the ability and willingness to travel independently. You must include your State of Colorado driver's license number on your application in order to be considered. Traveling is up to 10% of the time, including traveling overnight and staying out over weekends when required. + Effective September 20, 2021, employees will be required to attest to and verify whether or not they are fully vaccinated for COVID-19. Employees who have not been fully vaccinated may be required to submit to serial testing in the future. Upon hire, new employees will have three (3) business days to provide attestation to their status with proof of vaccination. Vaccinated employees must provide proof of vaccination. + Note: Fully Vaccinated means two (2) weeks after a second dose in a two-dose series of the COVID-19 vaccine, such as the Pfizer or Moderna vaccine, or two (2) weeks after the single-dose vaccine, such as Johnson & Johnson’s Janssen vaccine, as defined by the most recent State of Colorado’s Public Health Order and current guidance issued by the Colorado Department of Public Health & Environment. Supplemental Information PLEASE READ - Required Application Materials Interested individuals must submit the following online: 1. A completed State of Colorado Application (log-in to your current NeoGov account or create a NeoGov account to complete the online application). Note: Incomplete applications, including incomplete work history sections or "see résumé," "see attachment," or "see addendum" statements, will not be accepted in lieu of a completed application form. 2. A current email address on your application, as all communication pertaining to this position will be conducted via email. Please set up your email to accept messages from info@governmentjobs.com and ‘@state.co.us’ addresses, and check your email often. Note: The department cannot guarantee the successful delivery of email, including incorrect filtering into junk mail folders. 3. A detailed cover letter , explaining how you meet the required competencies and how your accomplishments, qualifications, skills, areas of expertise, personal characteristics, etc. make you a good fit for this position; you may also attach additional documents that demonstrate this. Comparative Analysis Process: Structured Application Review Part of, if not the entire, comparative analysis process for this position will involve a review of the information you submit in your application materials; Therefore, it is paramount that in the experience portion of your application and cover letter, you describe the extent to which you possess the education, experience, and competencies outlined in the job announcement as well as the required and/or preferred qualifications/competencies. You are also encouraged to attach additional documents to that effect. Failure to include adequate information or follow instructions may affect your score and prevent you from competing in subsequent measures used to arrive at a top group of applicants. Veterans’ Preference:Candidates who wish to assert Veterans’ Preference should attach a copy of their DD214 to their application. Failure to do so will result in being denied Veterans Preference. PLEASE NOTE:Former State Personnel System employees who were disciplinarily terminated or resigned in lieu of termination must disclose this information on the application. Colorado Revised Statutes require that all state employees be hired and promoted through competitive examination of merit and fitness. Failure to include the required information, failure to follow instructions, and/or failure to submit materials by the application deadline may result in your application not being considered for the position and may affect your score or inclusion in the final pool of qualified candidates. The State of Colorado believes that equity, diversity, and inclusion drive our success, and we encourage candidates from all identities, backgrounds, and abilities to apply. The State of Colorado is an equal opportunity employer committed to building inclusive, innovative work environments with employees who reflect our communities and enthusiastically serve them. Therefore, in all aspects of the employment process, we provide employment opportunities to all qualified applicants without regard to race, color, religion, sex, disability, age, sexual orientation, gender identity or expression, pregnancy, medical condition related to pregnancy, creed, ancestry, national origin, marital status, genetic information, or military status (with preference given to military veterans), or any other protected status in accordance with applicable law. ADAAA Accommodations:DORA is committed to the full inclusion of all qualified individuals. As part of this commitment, our agency will assist individuals who have a disability with any reasonable accommodation requests related to employment, including completing the application process, interviewing, completing any pre-employment testing, participating in the employee selection process, and/or to perform essential job functions where the requested accommodation does not impose an undue hardship. If you have a disability and require reasonable accommodation to ensure you have a positive experience applying or interviewing for this position, please direct your inquiries to our ADAAA Coordinator, at dora_adacoordinator@state.co.us . While a salary range is posted for this position, an eventual salary offer is determined by a comprehensive salary analysis, which considers multiple factors including but not limited to education and experience compared to others in the organization doing substantially similar work. Check out our excellent benefits (https://dhr.colorado.gov/state-employees/state-of-colorado-employee-benefits) package! Appeal Rights: If you receive notice that you have been eliminated from consideration for this position, you may file an appeal with the State Personnel Board or request a review by the State Personnel Director. An appeal or review must be submitted on the official appeal form, signed by you or your representative. This form must be delivered to the State Personnel Board by email, US Mail, faxed or hand-delivered within ten (10) calendar days from your receipt of notice or acknowledgment of the department’s action. For more information about the appeals process, the official appeal form, and how to deliver it to the State Personnel Board go to spb.colorado.gov or refer to 4 Colorado Code of Regulations (CCR) 801-1, State Personnel Board Rules and Personnel Director's Administrative Procedures, Chapter 8, Resolution of Appeals and Disputes, at spb.colorado.gov under Rules. The State of Colorado offers permanent employees a variety of benefits including medical, dental, life and disability insurance, as well as a comprehensive leave program. Please click the following link for detailed information: www.colorado.gov/pacific/dhr/benefits Please note that each agency's contact information is different; therefore, we encourage all applicants to view the full, official job announcement which includes contact information and class title. Select the job you wish to view, then click on the "Print" icon. 01 DORA Q1: Please provide your Social Security Number. NOTE: This information will be kept strictly confidential and is only accessible to Human Resources Personnel. 02 DORA Q2: Are you a current or previous State of Colorado employee? Enter "yes" or "no" in the space provided. If "yes", enter 1) the State agency name, 2) dates of employment, and 3) your official classification title. 03 DORA Q3: If you are a current or former State of Colorado classified employee, have you ever been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation)? NOTE: Current and former State Personnel System employees who were disciplinary terminated, resigned in lieu of termination, or who were deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation) must disclose this information on the application. Failure to disclose this information and/or falsification of application materials may result in being removed from consideration for this position. + N/A - I am not a current or former State of Colorado classified employee. + YES, I have been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation). + NO, I have NEVER been disciplinary terminated, resigned in lieu of termination, or deemed to have resigned without notice (Board Rule 7-6, Automatic Resignation). 04 DORA Q4: Current or Former Classified Employees: Are you a transfer, non-disciplinary (voluntary) demotion, or reinstatement applicant? + Yes + No + N/A - I am not a current or former State of Colorado classified employee. 05 DORA Q5: VETERAN'S PREFERENCE NOTE: If you are not eligible for/seeking Veteran's Preference, please skip down to the bottom and select option "N/A". REQUIRED DOCUMENTATION: Candidates who wish to assert Veterans' Preference should attach a copy of their DD214 reflecting dates of service, type of discharge, and, if appropriate, a campaign badge or service medal. If information regarding a campaign badge or service medal is necessary to award preference points and is not reflected on the DD214, other documents reflecting the grade or medal must be provided. Other types of documentation may be required for ten point preference. *Note 1: For a complete list of service dates and campaigns used in awarding preference points visit: http://www.opm.gov/veterans/html/vgmedal2.htm **Note 2: Medal holders and Gulf War veterans who originally enlisted after September 7, 1980, or entered active duty on or after October 14, 1982, without having previously completed 24 months of continuous active duty; must have served continuously for 24 months or the full period called or ordered to active duty. ***Note 3: Effective October 1, 1980, military retirees at or above the rank of major or equivalent, are not entitled to preference unless they qualify as disabled veterans. Reservists who are retired from the Reserves but are not receiving retirement pay are not considered "retired military" for purposes of veterans' preference. REMINDER: Proof of eligibility must be provided before points are allowed. Please attach documentation to your application. If you have not done so, please go back and do so now. Veteran's Preference points WILL NOT be applied without the appropriate documentation. PLEASE CHECK ALL THAT APPLY: + N/A - I am not eligible for/seeking Veteran's Preference. + A) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During any war declared by Congress + B) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During the period April 28, 1952, through July 1, 1955; + C) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: For more than 180 consecutive days, any part of which occurred after January 31, 1955, and before October 15, 1976; + D) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: During the Gulf War period beginning August 2, 1990, and ending January 2, 1992; + E) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: For more than 180 consecutive days, any part of which occurred during the period beginning September 11, 2001, and ending on the date prescribed by Presidential proclamation or by law as the last day of Operation Iraqi Freedom; or, + F) I was honorably separated (this means an honorable or general discharge) and I served on active duty (excluding active duty for training) in the Armed Forces: In a campaign or expedition for which a campaign medal has been authorized*, such as El Salvador, Lebanon, Granada, Panama, Southwest Asia, Somalia, and Haiti. + G) I have served on active duty in the Armed Forces at any time and have a present service connected disability or are receiving compensation, disability retirement benefits, or pension from the military or the Department of Veterans Affairs; or + H) I am a Purple Heart recipient; + I) I am the spouse of a veteran unable to work because of a service-connected disability; + J) I am the unmarried widow/widower of certain deceased veterans; and + K) I am the mother of a veteran who died in service or who is permanently and totally disabled. 06 DORA Q6: Part of the required application materials includes a detailed cover letter, explaining how you meet the required competencies and how your accomplishments, qualifications, skills, areas of expertise, personal characteristics, etc. make you a good fit for this position; you may also attach additional documents that demonstrate this. Q: Have you included this cover letter as an attachment to your application? (If not, you may go back and do so now). Yes, I have attached the required cover letter explaining how I meet the required competencies and how my accomplishments, qualifications, skills, areas of expertise, personal characteristics, etc. make me a good fit for this position; I may also attach additional documents that demonstrate this. No, I have not attached the required cover letter to my application. Note: I understand that failure to include this information and follow instructions may prevent me from competing in subsequent measures used to arrive at a top group of applicants. + Yes + No 07 DORA Q7: This position requires the ability to travel up to 10% of the time, including traveling overnight and staying over occasionally on weekends when required. In order to be considered for this position, you must possess and maintain a valid State of Colorado driver's license. Please provide your Colorado driver's license number in the space provided. 08 DORA Q8: Please explain in detail how you meet the following minimum qualifications: Graduation from an accredited college or university with an associate’s degree in finance, accounting, business administration, economics, statistics, mathematics, law, or a field of study related to the work assignment. 09 DORA Q9: Please explain in detail how you meet the following minimum qualifications: Eight (8) years of full-time professional* work experience in a government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms, performing at least two (2) the following: I. Internal auditing, compliance, sales, operations, and/or trade support; II. Conducting examinations and/or audits of financial institutions; III. Examining financial records for accuracy, completeness, and compliance; IV. Experience working with various customers such as securities broker-dealers, investment advisers, investment adviser representatives, and/or securities sales representatives. NOTE: If you answered yes to DORA Q8 with an associate's degree, the experience requirement is six (6) years. If you answered yes to DORA Q8 with a bachelor's degree, the experience requirement is four (4) years. 10 DORA Q10: Please explain in detail how you meet the following preferred qualifications: Master’s degree in Business Administration or Juris Doctor. 11 DORA Q11: Please explain in detail how you meet the following preferred qualifications: Certified Financial Planner (CFP), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Internal Auditor (CIA). 12 DORA Q12: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience working in the Colorado Division of Securities, government agency, finance industry, securities industry, securities firms, investment advisory, and/or broker-dealer firms to ensure compliance with policies and procedures when conducting examinations and audits of financial institutions. 13 DORA Q13: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience providing training or supervision to team members. 14 DORA Q14: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience working in a high-stress, fast-paced, high-volume environment, and adapting to shifting priorities. 15 DORA Q15: Please explain in detail how you meet the following preferred qualifications: Demonstrated ability to analyze documents for completeness, correctness, and/or compliance with securities laws, rules, policies, and procedures. 16 DORA Q16: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience conducting examinations or acting as a legal or compliance advisor in the area of broker-dealer, investment adviser, or financial institution examinations. 17 DORA Q17: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience conducting on-site and desk examinations of securities firms, their personnel and affiliated entities to determine compliance with state securities laws, rules, and procedures. 18 DORA Q18: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience examining books and records of licensees to ensure compliance with the Colorado Securities Act, the Colorado Commodities Code, the Colorado Municipal Bond Supervision Act, and/or federal securities regulations. 19 DORA Q19: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience working with or knowledge of Colorado Revised Statutes, Colorado Division of Securities Rules and Regulations, Colorado Securities Act, the Colorado Commodities Code, the Colorado Municipal Bond Supervision Act, and/or federal securities regulations. 20 DORA Q20: Please explain in detail how you meet the following preferred qualifications: Demonstrated professional* experience conducting fraud investigations in a financial setting. 21 DORA Q21: 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 needs. Would you be able to do this? 22 DORA Q22: The salary range posted for this position is $73,656 - $95,736/annually ($6,138 - $7,978/monthly); while appointments are typically made at or near the range minimum, the salary will be set based on the qualifications of the candidate appointed and relevant factors. Please share your salary expectations below. 23 DORA Q23: If you move forward in this process and are selected for this position, what is the earliest date that you would be able to start? Required Question Employer State of Colorado Address See the full announcement by clicking the "Printer" icon located above the job title Location varies by announcement, Colorado, -- Website https://careers.colorado.gov/ Apply Please verify your email addressVerify Email