New York State Department of Financial Services
Assistant Chief Field Unit (Director Financial Services Programs 2, SG-33)
New York State Department of Financial Services, New York, New York, us, 10261
Assistant Chief Field Unit (Director Financial Services Programs 2, SG-33)
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Assistant Chief Field Unit (Director Financial Services Programs 2, SG-33)
role at
New York State Department of Financial Services .
Pay Range Base pay range: $145,754.00/yr – $176,123.00/yr.
Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data‑driven regulation and policy, and operational excellence, the Department is responsible for empowering consumers and protecting them from financial harm; ensuring the health of the entities we regulate; driving economic growth in New York through responsible innovation; and preserving the stability of the global financial system.
Responsibilities
Oversee the operations of the field examinations unit and the respective Supervising Examiners.
Enhance analysis techniques and tools in conjunction with Supervisors and Regulatory Units.
Prioritize the examination of various insurers, monitor exam schedules, and oversee the assignment of examiners to conduct field audits.
Augment the Bureau’s risk‑focused examination and surveillance process, identify critical areas for review, prepare directives to examiners as to the exam function, and participate at pre‑exam meetings with companies, CPA, etc. in conjunction with Supervising Examiners.
Oversee the establishment of standards for the financial exam and market conduct functions.
Review communications to field staff regarding recent legislative initiatives and the development of programs to detect compliance through enhanced audit procedures.
Review reports on examinations, participate at meetings with company representatives to finalize report findings, determine monetary penalties, and review memos in support of stipulations for violations, and confer with DFS legal staff.
Monitor the educational development of subordinates, complete performance programs and evaluations, any disciplinary actions, and training of any trainees assigned to the Field Unit.
Represent the Department in overseeing multi‑state collaborative examinations or enforcement actions.
Design and implement new training classes and oversee general education of subordinates and evaluate their effectiveness.
Develop and/or comment upon new legislation, regulations, circular letters, and changes to financial reporting blanks.
Perform other duties as assigned.
Minimum Qualifications Non‑Competitive:
Bachelor’s degree in accounting, actuarial sciences, auditing, banking, business administration, technology, or related field and eight (8) years of financial services experience with a regulated entity that has a regional, national, and/or international presence or a governmental regulatory entity. Three (3) years of the experience must have been at a managerial level.
Substitutions:
A J.D. or a Master’s degree may substitute for one (1) year of specialized experience; a Ph.D. may substitute for two (2) years of specialized experience.
Appointment Status Contingent – Permanent. Appointment pending Governor Appointment Office and Division of Budget approval.
Salary Starting salary: $145,754 with periodic increases up to $176,123. Additional downstate adjustment for positions within the New York City metro area and selected counties.
Seniority Level Director
Employment Type Full‑time
Job Function General Business
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Assistant Chief Field Unit (Director Financial Services Programs 2, SG-33)
role at
New York State Department of Financial Services .
Pay Range Base pay range: $145,754.00/yr – $176,123.00/yr.
Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data‑driven regulation and policy, and operational excellence, the Department is responsible for empowering consumers and protecting them from financial harm; ensuring the health of the entities we regulate; driving economic growth in New York through responsible innovation; and preserving the stability of the global financial system.
Responsibilities
Oversee the operations of the field examinations unit and the respective Supervising Examiners.
Enhance analysis techniques and tools in conjunction with Supervisors and Regulatory Units.
Prioritize the examination of various insurers, monitor exam schedules, and oversee the assignment of examiners to conduct field audits.
Augment the Bureau’s risk‑focused examination and surveillance process, identify critical areas for review, prepare directives to examiners as to the exam function, and participate at pre‑exam meetings with companies, CPA, etc. in conjunction with Supervising Examiners.
Oversee the establishment of standards for the financial exam and market conduct functions.
Review communications to field staff regarding recent legislative initiatives and the development of programs to detect compliance through enhanced audit procedures.
Review reports on examinations, participate at meetings with company representatives to finalize report findings, determine monetary penalties, and review memos in support of stipulations for violations, and confer with DFS legal staff.
Monitor the educational development of subordinates, complete performance programs and evaluations, any disciplinary actions, and training of any trainees assigned to the Field Unit.
Represent the Department in overseeing multi‑state collaborative examinations or enforcement actions.
Design and implement new training classes and oversee general education of subordinates and evaluate their effectiveness.
Develop and/or comment upon new legislation, regulations, circular letters, and changes to financial reporting blanks.
Perform other duties as assigned.
Minimum Qualifications Non‑Competitive:
Bachelor’s degree in accounting, actuarial sciences, auditing, banking, business administration, technology, or related field and eight (8) years of financial services experience with a regulated entity that has a regional, national, and/or international presence or a governmental regulatory entity. Three (3) years of the experience must have been at a managerial level.
Substitutions:
A J.D. or a Master’s degree may substitute for one (1) year of specialized experience; a Ph.D. may substitute for two (2) years of specialized experience.
Appointment Status Contingent – Permanent. Appointment pending Governor Appointment Office and Division of Budget approval.
Salary Starting salary: $145,754 with periodic increases up to $176,123. Additional downstate adjustment for positions within the New York City metro area and selected counties.
Seniority Level Director
Employment Type Full‑time
Job Function General Business
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