Criminal investigator / of securities Job at State of Colorado Job Opportunities, Denver, CO

  • State of Colorado Job Opportunities
  • Denver, CO

Job Description

Department Information

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.

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 Investigation work unit exists to protect the investing public and stop illegal conduct through the identification and investigation of complex securities schemes used to defraud the public. The work unit reviews complaints and referrals, opens cases, investigates the cases, refers some for enforcement action, and closes others. The investigations involve obtaining evidence of potential violations, identifying grounds for statutory disqualification or appropriate administrative, civil, and 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 and monetary damages from the Denver District Court, and referring the case to criminal prosecutors for criminal sanctions.

: SLA 8527

The Criminal Investigator II 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 the Colorado State Government in that subject 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.

Duties include, but are not limited to:

  • Investigating and enforcing actions involving the securities-related activities and conduct of bad actors involved in the gaming and marijuana industry to determine whether such conduct and/or practices complied with and/or violated the Colorado Division of Securities Rules and Regulations and/or the Colorado Securities Act statutes;

  • Providing analysis of products offered and/or sold to investors in connection with transactional, debt or other capital-raising functions, and in connection with related advisory functions to determine whether Colorado Division of Securities Rules and Regulations and/or the Colorado Securities Act statutes were violated and if so, to implement steps to assure an appropriate resolution of any investigations;

  • Resolving conflicting opinions regarding the Colorado Revised Statutes, the Colorado Division of Securities Rules and Regulations, and consultation with management;

  • Updating and maintaining internal management databases in support of the Division's collection of statistical information used by management to make resource allocation decisions;

  • Providing direction and assistance to law enforcement/regulatory agencies throughout the State of Colorado by acting as a resource specialist regarding Securities violations that specifically address the issues of securities fraud.

Minimum Qualifications, Substitutions, Conditions of Employment & Appeal Rights


  • Graduation from an accredited college or university with a bachelor's degree in business, criminology, criminal justice, economics, finance, law enforcement, law, mathematics, or a closely related field; AND

  • Two (2) years of professional* investigative experience in the areas of white-collar crime or financial fraud.

    • Investigative experience must include the following:

      • 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.

Document this experience in your application
IN DETAIL , as your experience will not be inferred or assumed. Part time experience will be prorated.


  • A combination of professional* work experience as described above, which provided the same kind, amount, and level of knowledge acquired in the required education, may be substituted for the bachelor's degree on a year-for-year basis.

  • 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

  • Demonstrated experience working in a state government position conducting criminal and civil investigations applying pertinent information to laws, rules, and/or policies;

  • Demonstrated professional* experience working in the financial securities industry, in a compliance office, or a regulatory risk unit;

  • Professional* experience working with and knowledge of generally accepted accounting principles (GAAP) and practices;

  • Experience working with and knowledge of Securities Laws/Code and industry standards;

  • Demonstrated professional* experience analyzing large data sets, to ensure compliance with financial rules, regulations, and/or laws;

  • Demonstrated professional* experience in identifying trends or patterns that lead to the discovery of problematic activity;

  • Experience working as a Certified Fraud Examiner (CFE) or Forensic Accountant;

  • Demonstrated professional* experience vetting complaints or violations of securities 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 anti-money laundering or compliance monitoring;

  • Demonstrated professional* experience working with and/or knowledge of Colorado gaming and marijuana industry investment rules, regulations, and/or statutes

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;

  • Demonstrated investigative skills, including the ability to gather and organize evidence, recognize discrepancies, interview witnesses, write investigative reports of findings, and manage and prioritize an investigative caseload;

  • 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;

  • Customer service and interpersonal skills, including the ability to use de-escalation skills when necessary;

  • Complex problem-solving skills, including the ability to analyze situations and develop solutions;

  • 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;

  • Reliability, dependability, and accountability, including consistent work attendance and time management;

  • Ability to maintain confidentiality of all confidential, sensitive and personal identifying information, personnel information, and any other confidential or proprietary information, as well as comply with all State and Department policies regarding professional conduct and professional practices;

  • Self-motivated, self-directed, 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, including the ability to interact professionally with various stakeholders and internal staff;

  • 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).

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.

  • This position requires the ability to travel up to 5% of the time, including staying over weekends when required; and the ability to transport equipment, including, but not limited to, laptop computers, printers, manuals, and supplies.

  • 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 and ‘’ 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, Rachael Alkayali, at or call (303) 894-2441.

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 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 under Rules.

Job Tags

Holiday work, Full time, Temporary work, Part time, Work experience placement, Relief, Flexible hours,

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