Chief of Enforcement

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Job description

Position Title: Chief of Enforcement

Company: WA State Dept of Financial Institutions

Education: Juris Doctorate

Workplace Type: hybrid

Contact Name: Tom Grant

Duration: Indefinite

Industry:Legal

Start Date:2024-11-07

Expire Date:2025-01-06

City:Tumwater

State:Washington

Zip:98501

Country:United States

Description:

Providing Regulatory Oversight for Our State's Financial Service Providers

The Division of Consumer Services is the largest Division at the Department of Financial Institutions, which oversees thousands of licensees that operate in various financial industries. The Chief of Enforcement role is part of the Division's Leadership Team and reports directly to the Director of Consumer Services. The Chief of Enforcement plays an integral role for the Division, overseeing all enforcement activities, including taking administrative action against licensed and unlicensed entities and people, overseeing the consumer complaint process, and supervising a team of attorneys and non-attorneys. This position is also a member of the Program Manager team at the Agency level.

This unit is represented by the Washington Federation of State Employees (WFSE).

Duties:

Some of What You Will Do:

• Supervise a represented staff in the Enforcement Unit, which includes attorneys and non-attorneys.
• Plan, lead, organize, and control the work performed by the enforcement unit.
• Assure appropriate and optimum use of the unit's resources and enhance the effectiveness of employees through timely appraisals and professional development opportunities.
• Budget for the unit and share responsibility for the Division in business planning.
• Direct all investigations including complaints process for purposes of developing administrative, civil and criminal cases.
• Conduct technical final reviews of unit reports, charges, orders, investigative reports and other unit generated work assignments for quality standards, acceptability, accuracy, timeliness and legal ramifications.
• Administer the investigation caseload, including the coordination, planning and assignment of investigations to legal examiners.
• Coordinate and direct joint investigations with other Department Divisions and other state or federal agencies.
• Monitor all enforcement activity and makes recommendations to the Division Director on appropriate enforcement activity.
• Handle testimony of complex issues and issues of political or public sensitivity.
• Testify in administrative proceedings, civil actions, criminal trials, and Agency hearings.
• Serves as a Program Manager at the Agency level.
• Assist executive management as necessary.

Required Qualifications:
A Juris Doctor (JD) or equivalent law degree, and good standing with the Washington State Bar
Association.

Desired Knowledge of:

• Financial organization, practices and internal controls of non-depository and depository
  financial services companies.
• Personnel management.
• Labor relations experience - supervising and managing in a unionized environment
• The state and federal Administrative Procedures Act.
• Federal and state Financial Crimes and Consumer Protection Laws.
• State and federal statutes and rules applicable to non-depository and depository financial
  services companies.
• Relationship of Washington statutes and regulations implemented by the Agency to uniform
  legislation or model rules and guidelines and to federal statutes and regulations and the
  statutes and regulations of other states comparable.
• Non-depository and depository financial services companies' information systems software
  and hardware and examination techniques and internal controls of those systems.
• The impact of broadening the regulation of non-depository and depository financial
  institutions or financial services companies or issuers.
• Court decisions and regulatory opinions applicable to federal and state non-depository and
  depository financial services companies.
• Advanced investigation techniques.
• Budget processes.
• Financial trends analysis.
• Financial holding company provisions allowed by federal law.
• Economic principles and theoretical principles and practices of auditing and accounting
  (GAAP).
• Media relations.

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 three 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 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 200-plus 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 .

The DFI values diverse perspectives and life experiences. 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.

Official Work Station:

Your official work station will be the Tumwater headquarters office. A hybrid work schedule is available.

Application Process:

Applications for this recruitment will be accepted electronically thru the Washington State employment portal - careers.wa.gov . 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 attach the following materials to their application:

• Cover Letter
• Resume
• Unofficial Law School College Transcripts
• Three professional references (provide contact name, phone number, email address,
  company name, and job title)

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 applicant's advantage to submit application materials as soon as possible. Interviews may be conducted in person or virtually after the close of the recruitment.

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.

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