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Financial Compliance Examiner I

2 months ago

Denver, Colorado, United States State of Colorado Full time
Salary: $5, $6,565.00 Monthly

Location: Denver Metro, CO

Job Type: Full Time

Department: Department of Regulatory Agencies

Division: Division of Banking

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:

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 $60,600 - $78,780 annually ($5, $6,565.00 monthly); although a salary range is listed, hiring salary will be set commensurate with the successful candidate's qualifications and in compliance with the Equal Pay for Equal Work Act.

How To Apply: Please submit an online application for this position. 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.

Department Information

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 is a progressive, innovative government agency where employees and customers alike are valued. If you are interested in becoming a part of an environment where creative thinking, customer service, and protecting consumers through healthy regulation is valued, DORA is the place for you. In addition to rewarding, challenging, and meaningful work, the State of Colorado at the Department of Regulatory Agencies offers an excellent total compensation package including:
  • 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 10 paid holidays.
  • Short- and long-term disability coverage.
  • Tuition assistance program.
Description of Job

The Colorado Division of Banking safeguards the public interest and maintains public trust in the Colorado banking sector by overseeing the operations of state-chartered commercial banks and trust companies, state-licensed money transmitters, and by enforcing the Public Deposit Protection Act.

This work unit is responsible for regulating the activities of money transmitter licensees. It ensures the safety and soundness of money transmitter companies while protecting the public interest, regulating compliance with state and federal laws and rules, and conducting examinations.

Position: SCA 2086

This role is designed to assess the safety and soundness of money transmitter companies through regular examinations, including assisting with cybersecurity evaluations and performing off-site monitoring.

Key Responsibilities:
  • Preparing examination documentation for the assigned area;
  • Interpreting money transmitter statutes, rules, policies, and procedures to ensure compliance, and identifying violations of federal and state laws and regulations when necessary;
  • Analyzing operational practices to identify safety and soundness concerns;
  • Interviewing money transmitter personnel to clarify or relay information related to their examination;
  • Communicating examination findings to the Examination In-Charge (EIC) and drafting relevant sections of the examination report in accordance with Division guidelines;
  • Discussing examination findings with management and/or the board of directors of the money transmitter company;
  • Conducting off-site monitoring for a caseload of money transmitter companies each quarter.
Minimum Qualifications:

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 for a money transmitter company, financial institution, or in a closely-related industry.
Option 2: A Combination of Education AND Experience
  • Bachelor's Degree and Experience: Graduation from an accredited college or university with a bachelor's degree in accounting, business, computer engineering, cybersecurity, computer science, economics, finance, information technology, or a closely related field; AND
  • One (1) year of progressively responsible professional experience working for a money transmitter company, financial institution, or in a closely-related industry.
OR
  • Associate's Degree and Experience: Graduation from an accredited college or university with an associate's degree in accounting, business, computer engineering, cybersecurity, computer science, economics, finance, information technology, or a closely related field; AND
  • Three (3) years of progressively responsible professional experience working for a money transmitter company, financial institution, or in a closely-related industry.
Document this experience in your application IN DETAIL, as your experience will not be inferred or assumed.

Preferred Qualifications:
  • Bachelor's or advanced degree in accounting, business, computer engineering, cybersecurity, economics, finance, information technology, or a closely related field;
  • Experience performing a range of technical computer science functions, including programming, systems engineering, networking, and security;
  • An examiner with a federal or state banking regulatory body;
  • Compliance Officer in a financial institution or money transmitter company with experience with the Bank Secrecy Act or Anti-Money Laundering regulations;
  • Experience in bank operations, including internal auditing, lending, accounting, and treasury management;
  • Experience working with and knowledge of the Colorado Banking Code, the Colorado Money Transmitters Act, and the Administrative Procedures Act;
  • Certified Public Accountant (CPA);
  • Certified Anti-Money Laundering Specialist;
  • Experience working with or for a cryptocurrency company.
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 verbal communication skills, including the ability to effectively convey information to audiences in a concise manner;
  • Demonstrated writing skills, including the ability to convey information to various stakeholders in a clear, accurate, and concise written manner;
  • Demonstrated attention to detail;
  • Demonstrated ability to analyze complex business and financial records;
  • Interpersonal skills, including the ability to work effectively with stakeholders;
  • Ability to identify solutions to complex problems;
  • Demonstrated caseload management skills;
  • Demonstrated knowledge of banking industry and bank operations, including internal auditing, lending, accounting, and treasury management;
  • Ability to read, understand, interpret, apply, and explain laws, rules, policies, and procedures;
  • Demonstrated ability to understand and abide by workplace principles, practices, and behaviors as internally identified and defined by the department;
  • Customer service skills, including the ability to diplomatically interact with difficult customers, build relationships, and maintain communication with stakeholders;
  • Demonstrated organizational skills, including planning, prioritization, and time management in order to meet deadlines;
  • Demonstrated creativity and flexibility, including the ability to adapt to shifting priorities and additional work assignments;
  • Ability to accept feedback and criticism, take ownership of mistakes, and improve from them;
  • Self-motivated, self-directed, reliable, and accountable;
  • Demonstrated professional demeanor;
  • Knowledge and understanding in the use of PC software applications including Microsoft Office (Access, Word, Excel, etc.), and Google Suite (Docs, 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.
Effective September 20, 2021, employees will be required to attest to and verify that they are fully vaccinated for COVID-19.Travel is required up to 40% of the time.