Compliance Investigator I: DORA/Colorado Division of Real Estate

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 $4,955 - $6,440/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.

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.

The Division of Real Estate exists to protect consumers through licensing, regulation, and enforcement of the provisions of the state licensing statutes and board and commission rules pertaining to appraisal managements, homeowners associations, real estate brokers, real estate appraisers, mortgage loan originators and mortgage companies, and subdivision developers.

Position: SIA 7742

This position exists to maintain compliance with license laws and board and commission rules from all real estate brokers and mortgage loan originators in the areas of licensing, continuing education, criminal charges, pleas and convictions, advertising, and overall practice.   The position plans and completes investigations into complaints received from the public, including investigations into alleged unlicensed real estate activities.  The position provides guidance, interpretations and recommendations to brokers, mortgage loan originators, the general public and other law enforcement entities in those specific areas covering license laws. 

Duties include, but are not limited to:

• Planning and conducting investigations of non-compliance with statutes, rules, and regulations concerning improper advertising; failure to comply with continuing education requirements; submission of fraudulent applications for licensure; conducting real estate activities without licensure; criminal charges, pleas and convictions; and real estate broker/mortgage loan originator practice violations by licensees; 
• Collaborating with the team lead to determine the appropriate scope of an investigation, such as which parties to interview and what documentation to review; 
• Preparing complete, concise and accurate reports which present investigative results and documentation in an objective manner that can easily be understood by a variety of stakeholders; 
• Presenting investigative findings to the investigations manager or the applicable board or commission in a thorough and carefully articulated manner; 
• Testifying at hearings when necessary regarding investigations conducted, including providing investigative support to the Office of the Attorney General in order to help them develop and present their case at hearing. 

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 in the real estate industry, either in real estate brokerage, property management, title and escrow operations, or mortgage lending;
• The five (5) years must include managing real estate transactions, forms, contracts, deeds, and disclosures.

Option 2: A Combination of Education AND Experience 

Associate’s Degree and Experience: 

• Graduation from an accredited college or university with a associate's degree in criminology, criminal justice, political science, law, psychology, sociology, economics, business, or a closely related field; AND
• Three (3) years of professional* experience in the real estate industry, either in real estate brokerage, property management, title and escrow operations, or mortgage lending;
• The three (3) years must include managing real estate transactions, forms, contracts, deeds, and disclosures.

OR

• Graduation from an accredited college or university with a bachelor's degree in criminology, criminal justice, political science, law, psychology, sociology, economics, business, or a closely related field; AND
• One (1) year of professional* experience in the real estate industry, either in real estate brokerage, property management, title and escrow operations, or mortgage lending;
• The one (1) year must include managing real estate transactions, forms, contracts, deeds, and disclosures.

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

SUBSTITUTIONS:

• A combination of professional* work experience as described above, which provided the same kind, amount and level of knowledge acquired in the required education, may be substituted for the bachelor’s degree on a year-for-year basis;
• A master's or doctorate degree from an accredited college or university in a field of study related to the work assignment may be substituted for the bachelor’s degree. 

*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 bachelor's 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. 

Preferred Qualifications/Competencies:

• An advanced degree in criminology, criminal justice, political science, law, psychology, sociology, economics, business, or a closely related field;
• Over ten (10) years of real estate brokerage industry experience; 
• Experience with real estate industry-specific auditing, investigations or compliance work; 
• Investigative experience, including gathering and interpreting evidence and relevant facts from complex cases, interviewing witnesses, applying applicable laws, caseload management and investigative report writing; 
• Compliance experience, including determining compliance with laws quality control and it relates to monitoring transactions, auditing files and enforcing laws and rules, and investigating files for compliance with laws; 
• Experience testifying as an expert witness; 
• Experience managing a heavy complaint and/or investigative caseload; 
• Experience applying generally accepted standards of practice directly related to any of the areas regulated by the Division of Real Estate. 

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 communication skills (oral and written); 
• Demonstrated critical thinking and analytical skills; 
• Demonstrated attention to detail; 

• Ability to conduct research and gather pertinent information;
• Ability to handle sensitive and/or highly confidential information in a professional and ethical manner, and in accordance with state and federal laws; 

• Accountability for work product and attendance;
• Ability to accept and apply constructive criticism, and take ownership of mistakes and improve from them; 
• Ability to read, understand, and apply rules, policies, and statutes to ensure compliance, as well as to explain them to various stakeholders;
• Caseload management skills, including the ability to manage complaints; 
• Problem-solving and decision-making skills; 
• Focused and demonstrated understanding of quality customer service, including the ability to work diplomatically with difficult customers; 
• Time management, including the ability to meet strict deadlines; 
• Comfortable demonstrating expertise in front of authorities;
• Demonstrated interpersonal skills and the ability to work well within a collaborative team;
• Creativity and flexibility, with an ability to adapt to new changes;

• Demonstrated ability to understand and abide by workplace principles, practices and behaviors as internally identified and defined by the division; 

• Professional demeanor; 
• Proficiency in the use of PC software applications, including Microsoft Office (Word, Excel, etc.), Google Suite (Doc’s, Sheets, etc.) well as the use of databases.

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, 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.

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 [email protected] 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 [email protected].

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 Director's Administrative Procedures, Chapter 8, Resolution of Appeals and Disputes, at spb.colorado.gov under Rules.