FINANCIAL LEGAL EXAMINER 2-4
State of Washington Dept. of Financial Institutions
|Date Posted||March 03, 2023|
|Job Status||Not Specified|
Providing Regulatory Oversight for Our State's Financial Service Providers
About Our Agency:
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.
COVID-19 Mandatory Vaccination Information:
The Enforcement Unit is recruiting for a Financial Legal Examiner, which may be filled at the 2 thru 4 level, depending on applicant qualifications.
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.
Graduation from an accredited law school. Active membership in good standing with the Washington State Bar Association (WSBA). Recent graduates of an accredited law school that sit for the February 2023 Washington State Bar Exam are encouraged to apply.
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.
Interested applicants should select the "Apply" button and attach the following materials to their application:
- Cover Letter
- 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.
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.
- Health insurance
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