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 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. (This position closes on February 14, 2025.)
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.