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FINANCIAL LEGAL EXAMINER 2-4

State of Washington Dept. of Financial...
Tumwater, WA Remote Full Time
POSTED ON 4/6/2024

Description


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 Registration Unit is recruiting for a Financial Legal Examiner, which may be filled at the 2 thru 4 level, depending on applicant qualifications.

Duties

This position performs professional legal work involving complex, highest risk and politically sensitive issues within the Securities Division and is primarily responsible for analyzing application materials submitted in connection with securities, franchise, and business opportunity offerings; conducting legal research and preparing legal memoranda; interpreting and drafting statutes, regulations, policies and interpretive letters; reviewing and negotiating rescission offers; and other assignments related to the Division’s regulatory mission.

Some of What You Will Do:


  • Perform legal analysis of complex offering materials, financial statements, and other records of securities issuers, franchisors, and business opportunity sellers submitted in connection with registration and exemption filings, as well as prospective rescission offerings.
  • Compose correspondence setting forth items for revision in order to bring filings into compliance with the law.
  • Interpret, apply, and negotiate compliance with federal and state securities laws.
  • Make decisions and/or recommendations to the Chief of Registration and to the Securities Administrator regarding exercise of the Division’s quasi judicial authority in granting or denying applications for the sale of securities, franchises, and business opportunities to Washington State investors.
  • Conduct legal research.
  • Analyze relevant statutes, rules, cases, or other authorities.
  • Draft text of statutes, rules, and policy/interpretive statements regarding issues arising under the statutes the Securities Division administers.
  • Prepare rule-making notices, testimony, concise explanatory statements, and other memos.

Qualifications

Qualifications:

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

Supplemental Information

Official Work Station:
The Division of Securities Registration Unit currently employs a hybrid work schedule (two to three days in office, remaining 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
  • 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

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