Financial/Credit Examiner I: DORA/Division of Securities

Financial/Credit Examiner I: DORA/Division of Securities

Salary

$5,203.00 - $6,760.00 Monthly

Location

Denver Metro, CO

Job Type

Full Time

Job Number

SLA-8542-10/26

Department

Department of Regulatory Agencies

Division

Division of Securities

Opening Date

10/08/2026

Closing Date

10/22/2026 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

Addison Dittrich: addison.dittrich@state.co.us

Salary Note

Although the full salary range for this position is provided, appointments are typically made at or near the range minimum.

Hiring Pay Rate

The salary range posted for this position is $62,436 - $81,120 annually ($5,203.00 - $6,760.00 monthly); although a salary range is listed, hiring salary will be set commensurate with the successful candidates qualifications and in compliance with the Equal Pay for Equal Work Act. New employees to the State will be paid biweekly. There are 26 biweekly pay periods in a year.

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 need.

The salary range posted for this position is $5,203 - $6,760/monthly; although a salary range is listed, hiring salary will be set commensurate with the successful candidates qualifications and in compliance with the Equal Pay for Equal Work Act

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 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 to prevent dishonest and unethical sales practices. This work unit accomplishes this mission through the examination and licensing of securities professionals and ensuring compliance with the securities laws. This 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 can include comment letters, recommendations for corrective action, and referrals to Enforcement for revocation of license proceeding, or civil or criminal enforcement actions. The purpose of this 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 8542

The purpose of this position is to conduct field and desk examinations, which includes examining the books and records of licensees and to answer inquiries from the general public and the industry regarding Colorado Securities Act, the Colorado Commodity Code, and the Colorado Municipal Bond Supervision Act.

Duties include, but are not limited to:

• Preparing for each examination by performing analysis and due-diligence research tailored to the particular examinee;
• Conducting examinations of books and records of licensees that includes review and analysis of financial statements, general ledgers, and documents required by the Colorado Securities Act, rules under the Colorado Securities Act, and by federal regulations;
• Requesting records, analyzing the records received, requesting additional information, and arriving at conclusions regarding whether the licensees books and records are deficient in any aspect of securities laws and regulations;
• Responding to questions from the public regarding broker-dealers, investment advisers, and general securities inquiries;
• Responding to questions regarding Colorado securities laws from the regulated industry and other federal, state, and self-regulatory securities agencies.

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

• Five (5) years of professional* experience working in the securities or financial industry, and/or in a securities regulatory agency performing any one (1) of the following three (3) functions:
• 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.

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 accounting, banking, business, economics, finance, mathematics, statistics, or a closely-related field; and
• Three (3) years of professional* experience working in the securities or financial industry, and/or in a securities regulatory agency performing any one (1) of the following three (3) functions:
• 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.

OR

• Bachelor's Degree and Experience: Graduation from an accredited college or university with a bachelor's degree in accounting, banking, business, economics, finance, mathematics, statistics, or a closely-related field; and
• One (1) year of professional* experience working in the securities or financial industry, and/or in a securities regulatory agency performing any one (1) of the following three (3) functions:
• 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.

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

• 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 bachelors 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.

SUBSTITUTIONS:

• Partial credit toward the degree requirement will be given for completed college/university coursework that did not result in a degree. A masters or doctorate degree from an accredited college or university in a field of study related to the work assignment will substitute for the required professional* work experience on a year-for-year basis.

PREFERRED QUALIFICATIONS:

• Certified Public Accountant (CPA) or Certified Fraud Examiner (CFE) or Certified Internal Auditor (CIA), AND/OR Certified Financial Planner (CFP);
• Experience working with and knowledge of the Colorado Securities Act, and federal and state financial institution regulations;
• Master's degree or Juris Doctorate (J.D.);
• Experience conducting examinations or acting as a legal or compliance advisor in the area of broker-dealer, investment adviser, or financial institution examinations;
• Experience conducting on-site and desk examinations of securities firms, their personnel and affiliated entities to determine compliance with state securities laws, rules and regulations;
• Demonstrated experience working in the securities industry ensuring compliance with policies and procedures and/or experience working on a sales or trade desk;
• Demonstrated experience conducting fraud investigations in a financial setting;
• Experience explaining securities products or investments to customers;
• Experience working with various customers in the securities industry such as securities broker-dealers, investment advisers, and investment adviser representatives.
• Experience performing securities industry functions while holding an active FINRA (Financial Industry Regulatory Authority) Securities license.

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 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;
• 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;
• Ability to travel independently, including work in-office, as required by business needs and scheduled by the supervisor;
• Integrity and high ethical standards;
• Accountability, reliability, including attendance;
• Demonstrated ability to inform and collaborate with stakeholders who may hold competing interests, and if and when necessary be able to bring them into compliance with established laws;
• Leadership skills, including the ability to lead and manage a team, as well as disseminate work;
• Ability to identify issues in team performance and have tough conversations as necessary;
• Comfortability in engaging in public speaking, including demonstrating expertise in front of authorities;
• 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, 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, a review of job-related public information, 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 up to 10% of the time, including work in-office, as required by business need and scheduled by the supervisor.

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 DD-214 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 strives to create a Colorado for All by building and maintaining workplaces that value and respect all Coloradans through a commitment to equal opportunity and hiring based on merit and fitness.

The State is resolute in non-discriminatory practices in everything we do, including hiring, employment, and advancement opportunities.

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.

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 Directors 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 agencys 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: VETERANS PREFERENCE NOTE: If you are not eligible for/seeking Veterans 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. Veterans Preference points WILL NOT be applied without the appropriate documentation. PLEASE CHECK ALL THAT APPLY:

• N/A - I am not eligible for/seeking Veterans 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: Do you currently possess an associates or bachelors degree in accounting, banking, business, economics, finance, mathematics, statistics, or a closely-related field? If yes, list the type of degree in the space provided.

08

DORA Q8: Please explain in detail how you meet the following minimum qualifications: Five (5) years of professional* experience working in the securities or financial industry, and/or in a securities regulatory agency performing any one (1) of the following three (3) functions: o Internal auditing, compliance, sales, operations, and/or trade support; o Conducting examinations and/or audits of financial institutions; o Examining financial records for accuracy, completeness, and compliance. NOTE: If you answered yes to DORA Q7 with a completed associates degree, the experience requirement is three (3) years. If you answered yes to DORA Q7 with a completed bachelors degree, the experience requirement is one (1) year.

09

DORA Q9: Clearly describe and provide examples of how you meet the following preferred qualification: Certified Public Accountant (CPA) or Certified Fraud Examiner (CFE) or Certified Internal Auditor (CIA), AND/OR Certified Financial Planner (CFP).

10

DORA Q10: Clearly describe and provide examples of how you meet the following preferred qualification: Experience working with and knowledge of the Colorado Securities Act, and federal and state financial institution regulations.

11

DORA Q11: Clearly describe and provide examples of how you meet the following preferred qualification: Master's degree or Juris Doctorate (J.D.).

12

DORA Q12: Clearly describe and provide examples of how you meet the following preferred qualification: Experience conducting examinations or acting as a legal or compliance advisor in the area of broker-dealer, investment adviser, or financial institution examinations.

13

DORA Q13: Clearly describe and provide examples of how you meet the following preferred qualification: Experience conducting on-site and desk examinations of securities firms, their personnel and affiliated entities to determine compliance with state securities laws, rules and regulations.

14

DORA Q14: Clearly describe and provide examples of how you meet the following preferred qualification: Demonstrated experience working in the securities industry ensuring compliance with policies and procedures and/or experience working on a sales or trade desk.

15

DORA Q15: Clearly describe and provide examples of how you meet the following preferred qualification: Demonstrated experience conducting fraud investigations in a financial setting.

16

DORA Q16: Clearly describe and provide examples of how you meet the following preferred qualification: Experience explaining securities products or investments to customers.

17

DORA Q17: Clearly describe and provide examples of how you meet the following preferred qualification: Experience working with various customers in the securities industry such as securities broker-dealers, investment advisers, and investment adviser representatives.

18

DORA Q18: Clearly describe and provide examples of how you meet the following preferred qualification: Experience performing securities industry functions while holding an active FINRA (Financial Industry Regulatory Authority) Securities license.

19

DORA Q19: The salary range posted for this position is $62,436 - $81,120 annually ($5,203 - $6,760 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.

20

DORA Q20: 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/