Have you considered a career as a state securities regulator? The Division hires investigators, examiners, auditors (Certified Professional Accountants), administrative support and supervisors. We list openings here.
The purpose of this position is to conduct field examinations, including examining the books and records of licensees that include review and analysis of financial statements, general ledgers, and documents required by the Colorado Securities Act, rules under the Colorado Securities Act, and federal rules and regulations. The position answers inquiries from the general public and the industry regarding the Colorado Securities Act, the Colorado Commodity Code and the Colorado Municipal Bond Supervision Act. This position closes on April 23, 2025. Apply here.
Division auditors are certified professional accountants. They work with the investigators and attorneys to support ongoing investigations. Auditors also review individuals’ and companies’ financial transactions and records and work to show use of funds. They testify at grand juries and trials and must be able to clearly explain their work to attorneys, judges and juries. (Closed on October 23, 2024. Additional positions will be posted in the near future.)
Division investigators investigate securities fraud for administrative, civil or criminal prosecution. They work with auditors and gather evidence, interview witnesses, identify complex frauds and compile the facts in a clearly written narrative. Investigators also work with attorneys to assist with settlements, litigation and any post-conviction appeal processes. They must testify at grand juries and trials and clearly explain their work to attorneys, judges and juries. (Closed on July 23, 2024. Additional positions will be posted in the near future.)
Division examiners process applications of firms and professionals who apply to be licensed. They also examine licensed firms by reviewing their books and records to ensure they comply with the Colorado security rules and statutes. Exams may include onsite visits to firms. Examiners assist with settlement negotiations with licensees. Additionally, they interact with licensees by answering questions, pointing out compliance deficiencies and issuing regulatory guidance. The Division trains examiners in state securities regulation, though background in the securities industry can be helpful. (Closed on April 8, 2024. Additional positions will be posted in the near future.)
Please email dora_SecuritiesWebsite@state.co.us with additional questions.