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. 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.