State of Washington
Information Security Financial Examiner 2-4
Posted 3 days ago. Be among the first 25 applicants.
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. The Department’s nearly 250 employees across five 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; its operating revenues come from the organizations and individuals it regulates. To learn more, visit 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 is achievable by everyone.
Benefits
Medical, dental, retirement, and generous paid vacation, sick leave, and holidays.
Healthy work‑life balance.
Commitment to diversity, equity, and inclusion.
Telecommuting up to three days per week and flexible work hours.
Professional development and continuing education opportunities.
Eligibility for Public Service Loan Forgiveness.
About The Division The Division of Securities is a dynamic, professional organization. The securities we regulate include cutting‑edge products such as cryptocurrency and digital assets, as well as traditional investments like stocks, bonds, and mutual funds. The Division values diverse perspectives and offers a generous benefits package, including defined‑benefit retirement plans, health, dental, vision coverage, and deferred compensation plans.
Licensing and Examination Unit The Licensing and Examination Unit is recruiting for a Financial Examiner (levels 2‑4, depending on qualifications).
Duties About The Position This Financial Examiner position supports the agency’s mission by reviewing initial licensing applications of investment advisers and broker‑dealers and their representatives; reviewing annual filings and analyzing associated financial data that may lead to administrative, civil, or criminal actions.
What You Will Do
Perform professional review of complex investment adviser and representative applications.
Analyze financial statements applying capital requirements and other ratios to assess compliance.
Review application and related disclosure materials, correspondence, and disciplinary history.
Interpret, apply, and negotiate compliance with applicable statutes, rules, and policies.
Write comment letters describing substantive and disclosure issues; discuss alternatives for compliance.
Coordinate and communicate review status and issues with supervisors, staff, and other regulatory agencies.
Make decisions and/or recommendations regarding grant of licenses.
Consider and recommend decisions on waiver requests.
Negotiate special license conditions or terms with licensees or counsel.
Qualifications Required Qualifications:
12 semester or 20 quarter hours of finance, economics, or accounting coursework.
Desired Qualifications:
Bachelor’s degree in finance, business administration, economics, or accounting.
Three years of professional experience in auditing, analysis of regulated entities, or working for a regulated entity in advanced positions related to lending, operations, loan or securities portfolio analysis, auditing, reinsurance, investments, information system reviews, or related fields.
A Master’s degree in a qualifying field, Certified Examiner, Certified Anti‑Money Laundering Specialist, or other relevant certifications may substitute for one year of experience.
Official Work Station The Tumwater Headquarters is your place of duty with a hybrid arrangement: two days in office, three days from home. Travel requirements should be less than 10%.
Application Process Applications are accepted electronically. Submitting your application materials confirms that the information is complete and accurate. Failure to provide all required materials may result in disqualification.
Select the “Apply” button and attach:
Unofficial college transcripts
Cover letter
Resume
Three professional references* (contact name, phone, email, company, job title)
*Professional references are those who have supervised your work and can attest to your performance. If insufficient, include non‑professional references such as educators or other professional associates.
Application review may begin immediately; this recruitment may be closed at any time.
Background Investigation A background check including credit and criminal history will be conducted. Information may be considered in determining suitability.
Contact Information Tom Grant 360‑725‑7817 Recruiting@dfi.wa.gov or tom.grant@dfi.wa.gov
Job Details
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Finance and Sales
Industries: Government Administration
#J-18808-Ljbffr
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. The Department’s nearly 250 employees across five 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; its operating revenues come from the organizations and individuals it regulates. To learn more, visit 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 is achievable by everyone.
Benefits
Medical, dental, retirement, and generous paid vacation, sick leave, and holidays.
Healthy work‑life balance.
Commitment to diversity, equity, and inclusion.
Telecommuting up to three days per week and flexible work hours.
Professional development and continuing education opportunities.
Eligibility for Public Service Loan Forgiveness.
About The Division The Division of Securities is a dynamic, professional organization. The securities we regulate include cutting‑edge products such as cryptocurrency and digital assets, as well as traditional investments like stocks, bonds, and mutual funds. The Division values diverse perspectives and offers a generous benefits package, including defined‑benefit retirement plans, health, dental, vision coverage, and deferred compensation plans.
Licensing and Examination Unit The Licensing and Examination Unit is recruiting for a Financial Examiner (levels 2‑4, depending on qualifications).
Duties About The Position This Financial Examiner position supports the agency’s mission by reviewing initial licensing applications of investment advisers and broker‑dealers and their representatives; reviewing annual filings and analyzing associated financial data that may lead to administrative, civil, or criminal actions.
What You Will Do
Perform professional review of complex investment adviser and representative applications.
Analyze financial statements applying capital requirements and other ratios to assess compliance.
Review application and related disclosure materials, correspondence, and disciplinary history.
Interpret, apply, and negotiate compliance with applicable statutes, rules, and policies.
Write comment letters describing substantive and disclosure issues; discuss alternatives for compliance.
Coordinate and communicate review status and issues with supervisors, staff, and other regulatory agencies.
Make decisions and/or recommendations regarding grant of licenses.
Consider and recommend decisions on waiver requests.
Negotiate special license conditions or terms with licensees or counsel.
Qualifications Required Qualifications:
12 semester or 20 quarter hours of finance, economics, or accounting coursework.
Desired Qualifications:
Bachelor’s degree in finance, business administration, economics, or accounting.
Three years of professional experience in auditing, analysis of regulated entities, or working for a regulated entity in advanced positions related to lending, operations, loan or securities portfolio analysis, auditing, reinsurance, investments, information system reviews, or related fields.
A Master’s degree in a qualifying field, Certified Examiner, Certified Anti‑Money Laundering Specialist, or other relevant certifications may substitute for one year of experience.
Official Work Station The Tumwater Headquarters is your place of duty with a hybrid arrangement: two days in office, three days from home. Travel requirements should be less than 10%.
Application Process Applications are accepted electronically. Submitting your application materials confirms that the information is complete and accurate. Failure to provide all required materials may result in disqualification.
Select the “Apply” button and attach:
Unofficial college transcripts
Cover letter
Resume
Three professional references* (contact name, phone, email, company, job title)
*Professional references are those who have supervised your work and can attest to your performance. If insufficient, include non‑professional references such as educators or other professional associates.
Application review may begin immediately; this recruitment may be closed at any time.
Background Investigation A background check including credit and criminal history will be conducted. Information may be considered in determining suitability.
Contact Information Tom Grant 360‑725‑7817 Recruiting@dfi.wa.gov or tom.grant@dfi.wa.gov
Job Details
Seniority level: Mid‑Senior level
Employment type: Full‑time
Job function: Finance and Sales
Industries: Government Administration
#J-18808-Ljbffr