WA State Dept of Financial Insititutions

The mission of the Department of Financial Institutions (DFI) is to regulate financial services in Washington State to protect the public and promote economic vitality.

The Department is made up of five divisions: Division of Administration, Division of Banks, Division of Credit Unions, Division of Securities, and the Division of Consumer Services.

The Department of Financial Institutions regulates a variety of Washington State financial service providers such as banks, credit unions, mortgage brokers, money transmitters, payday lenders, and securities broker-dealers and investment advisers.

Apr 26, 2022
Full time
$4,627 - $8,568 monthly
WA State Dept of Financial Insititutions Tumwater, WA
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 examinations and investigations of investment advisers, broker-dealers and their representatives and analyze associated financial records 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...