FINANCIAL LEGAL EXAMINER 2-4

Description

Washington Administrative Code (WAC) 357-19-167 requires all employees of executive cabinet agencies to be fully vaccinated with the COVID-19 vaccine before their employment (as defined in Directive 22-13.1, issued August 5, 2022, by Governor Jay Inslee) . Pursuant to this requirement, you will be required to provide proof of vaccination as a part of the hiring process. We will verify your vaccination status during our background checks process. Exemptions may be requested granted for religious or medical purposes.

Duties

This position investigates allegations of investment fraud or other violations of Washington’s securities, franchise, business opportunity, and commodities laws and prepares cases for administrative, civil or criminal actions.

Some of What You Will Do:

• 
  Determine essential facts and gather supporting evidence by devising and implementing investigation plans.
• Manage a caseload of multiple investigations and complete investigations within the expected timeframe.
• Draft, issue and enforce subpoenas.
• Take investigative testimony.
• Interview witnesses.
• Review and analyze corporate records, offering materials and financial records
• Direct the work of Financial Examiners assigned to cases.
• Draft legal memoranda and pleadings and investigative reports.
• Negotiate settlements with defense counsel and other interested parties, and make recommendations for approval of negotiated resolutions.
• Coordinate enforcement investigations and prosecution actions with administrative and criminal regulatory agencies at the county, state and federal levels.
• Assist federal and county prosecutors in criminal cases, including trials and appeals
• Prepare civil and criminal cases for the Securities Division for transmission to local prosecutors offices, the U.S. Attorney's office or the Office of the Attorney General, including drafting legal briefs, motions and related pleadings.

Qualifications

Qualifications:

Supplemental Information

Official Work Station:
The Division of Securities Enforcement 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.

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

• 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
Recruiting@dfi.wa.gov