$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...