3 FINANCIAL LEGAL EXAMINER 2-4 Jobs in Thurston, WA

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FINANCIAL LEGAL EXAMINER 2-4

State of Washington

Thurston, WA | Full Time

$138k-177k (estimate)

0 Months Ago

FINANCIAL LEGAL EXAMINER 2-4

State of Washington

Thurston, WA | Full Time

$138k-177k (estimate)

0 Months Ago

Financial Examiner 4 - Supervisory

State of Washington

Thurston, WA | Full Time

$76k-94k (estimate)

1 Week Ago

FINANCIAL LEGAL EXAMINER 2-4

State of Washington Thurston, WA

$138k-177k (estimate)

Full Time | Heavy Civil Construction 0 Months Ago

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State of Washington is Hiring a FINANCIAL LEGAL EXAMINER 2-4 Near Thurston, WA

Providing Regulatory Oversight for Our State's Financial Service Providers
About Our Agency:

The Washington State Department of Financial Institutions' (DFI) mission is to protect consumers and advance the financial health of Washington State by providing fair regulation of financial services and educating consumers to make informed financial decisions. Collectively and independently, the Department's nearly 200 employees within its 5 divisions - Administration, Banks, Consumer Services, Credit Unions, and Securities - work together to create a stronger economic future and secure financial environment for Washington's consumers and businesses alike. DFI is self-supporting, in that none of its operating revenues come from the state's general tax funds. Its operating revenues are paid by the organizations and individuals it regulates. To learn more about the Department of Financial Institutions, please visit our website at www.dfi.wa.gov.

We employ and serve diverse people of all backgrounds including people of color, women, LGBTQ , people with disabilities, and veterans. This culture of respect promotes a professional and inclusive environment where maximizing potential through opportunity is achievable by everyone.
Benefits of working for DFI include:

Medical, dental, retirement, and generous paid vacation, sick leave, and holidays.
Healthy work-life balance.
Commitment to diversity, equity, and inclusion where every person is recognized and valued.
Telecommuting up to two days per week and flexible work hours.
Professional development and continuing education opportunities, including DFI’s in-house CLE program and other training that ensures employees are successful.
You may be eligible for Public Service Loan Forgiveness.

About The Division:

The Division of Securities, is a dynamic, professional organization where you will experience a remarkable work-life balance - 40 hour weeks with flexible schedules and a dedicated staff. If you are interested in a legal career with an agency whose primary mission is consumer protection, then the Securities Division is for you. The securities we regulate include cutting edge new products such as cryptocurrency and digital assets, as well as traditional investments such as stocks, bonds and mutual funds. Additionally, we license and conduct examinations of the people that provide advice and sell these products, and take action against those who violate the Securities Act. This includes bringing administrative, civil, and criminal enforcement cases against respondents.

The Securities Division values diverse perspectives and life experiences. We employ and serve people of all backgrounds including people of color, women, LGBTQ , people with disabilities, and veterans. We offer a generous benefits package that includes defined benefit retirement plans; health, dental and vision coverage, deferred compensation plans, and as a public service employee, you may also be eligible for student loan forgiveness.

We are looking for candidates that have an interest in securities and you will receive all of the training needed to be successful. Your work schedule will be a hybrid of office and telework. Many of the staff in the Licensing and Examinations Unit are scheduled for 2 days in-office work and 3 days of telework from home. While you may need more in-office time for purposes of your training, subsequently you will work with the supervisor to determine the work schedule appropriate for you.

The Licensing and Examination Unit in the Division of Securities is recruiting for one Financial Legal Examiner which may be filled at the 2 thru 4 level, depending on applicant qualifications.

** State of Washington classified positions will see a general wage increase of 3% effective July 1.About the Position:

Under supervision, this position supports the mission of the agency by reviewing initial licensing applications of investment advisers, including pooled investment vehicles (also referred to as “hedge funds”), and broker-dealers and their representatives. The position will also conduct investigations of investment advisers, broker-dealers and their representatives that may lead to administrative, civil or criminal actions These actions advance DFI's goals of implementing and enforcing laws regulating financial institutions and consumer protection laws.

Some of What You Will Do:

Complete sophisticated legal analysis of referrals received as a result of financial examinations.
Draft administrative orders, statements of charges, legal memoranda and investigative reports.
Negotiate settlements with corporate counsel, compliance officers, licensees and other interested parties.
Investigate cases involving potential violations of the Securities Acts and related state and federal law.
Develop essential evidentiary facts through drafting and executing investigation plans.
Draft, issue and enforce subpoenas.
Conduct testimony.
Select and interview witnesses.
Examine financial records, company records, offering materials and other records as necessary.
Independently analyze advisory contracts, limited partnerships or limited liability agreements, financial statements and other records for investment adviser, pooled investment vehicles, broker-dealer and representative applications.
Interpret, apply and negotiate compliance with federal and state securities laws.
Perform thorough analysis and review of legal contracts and to verify compliance with regulations governing unethical business practices.
Review and make determinations on applications for investment advisers, including pooled investment vehicles, investment adviser representatives, broker-dealers, and securities salespersons.
Assist with examinations of securities and investment firms of any size involving specialized and complex fields such as: day trading, market-making activities of firms, due diligence review of broker-dealers bringing high-risk securities of newly formed companies to the financial markets and evaluate adequacy of supervision, compliance and administration.
Provide briefings on licensing applications, licensees, administrative or other complex legal issues to supervisors, attorneys, financial examiners and others.
Respond to inquiries from licensees, other regulators and the public regarding the licensing process.
Other duties as assigned.

Qualifications:

Graduation from an accredited law school. Active membership with the Washington State Bar Association (WSBA).

Official Work Station:
The Division of Securities Licensing Unit currently employs a hybrid work schedule (two days in office, three days telework). Your official work station will be defined as the Tumwater Headquarters Office.

Application Process:

Applications for this recruitment will be accepted electronically. Submitting your application materials electronically will act as confirmation that the information submitted is complete and accurate to the best of your knowledge. Failure to provide all required application materials may result in disqualification.
Interested applicants should select the "Apply" button and attach the following materials to their application:

Cover Letter
Resume
Three professional references* (provide contact name, phone number, email address, company name, and job title)
Unofficial law school college transcripts
5-10 page writing sample
Documentation of Bar passage.

*A professional reference is someone who has been paid to supervise your work and can attest to your work performance, technical skills and job competencies. If you do not have sufficient professional references, please include non-professional references, such as educators or other professional associates.
Note: Application review may begin immediately. DFI reserves the right and may exercise the option to close this recruitment and make a hiring decision at any time. It may be to the applicants advantage to submit application materials as soon as possible.
Background Investigation:
Prior to a new hire, a background check including credit history and criminal record history will be conducted. Information from the background check will not necessarily preclude employment but will be considered in determining the applicant's suitability and competence to perform in the position.
Contact Information:
Tom Grant
360-725-7817
tom.grant@dfi.wa.gov