Securities Fraud Investigator III (Criminal Investigator III) - DORA: Division of Securities Hybrid ?

Description of Job

This work unit exists to protect the investing public and stop illegal conduct through the identification and investigation of complex securities fraud schemes. The work unit reviews complaints and referrals, opens and investigates cases, and makes referrals for enforcement actions when appropriate. The investigations involve obtaining evidence of potential violations, identifying grounds for statutory disqualification or appropriate administrative, civil or 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, restitution and sanctions from the Denver District Court, and referring the case to criminal prosecutors for criminal sanctions and assisting with the prosecution of the case.

The position:

**Position:** SLA 8533/8512

This 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 Colorado state government in that 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

• Conducting investigations of violations of the Securities Act and Commodities Code by developing a strategy for the investigations, taking testimony from and interviewing witnesses, drafting and serving subpoenas, writing affidavits in support of search and seizure and arrest warrants, planning and conducting covert operations, and organizing and analyzing evidence in order to determine whether the law has been violated;
• Participating in administrative, civil, and criminal litigation by preparing evidence, reviewing complaints and criminal charging documents, and testifying in all phases of the case;
• Summarizing findings through the process of writing interview memoranda, investigation reports, and referral memoranda;
• Preparing demonstrative evidence and exhibits, giving oral testimony in various administrative, civil and criminal proceedings, participating in hearing/trial strategy sessions, settlement conferences, and plea agreement conferences, performing the duties of an advisory witness during hearings/trials, and assisting with jury selection;
• Acting as a resource specialist regarding securities violations that specifically address the issues of securities fraud as well as licensee violations, including whether the subject should have their license suspended or revoked;
• Updating and maintaining internal management databases.

MINIMUM QUALIFICATIONS (MQs)

• Option 1: Experience
• Six (6) 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.
• 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 business, accounting, criminology, criminal justice, law enforcement, law, finance, or in a field of study related to the work assignment;
• AND Four (4) 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.
• OR
• Bachelor's Degree and Experience:
• Graduation from an accredited college or university with an associate's degree in business, accounting, criminology, criminal justice, law enforcement, law, finance, or in a field of study related to the work assignment;
• 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.