Program Manager - Chief Of Enforcement (Ems3)

Providing Regulatory Oversight for Our State's Financial Service Providers

About Our Agency:

The Washington State Department of Financial Institutions' (DFI) mission is to regulate financial services to protect and educate the public and promote economic vitality. Collectively and independently, the Department's nearly 200 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 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 through opportunity is achievable by everyone.

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 The Division:

In the Division of Consumer Services, you will enjoy work-life balance while enforcing consumer financial laws. Consumer protection is at the heart of what we do, whether we are regulating emerging FinTech industries like those dealing in cryptocurrency or more established forms of money transmission, escrow, consumer lending, and loan servicing. We license and conduct examinations of the people and companies in those industries, and take action against those who violate the law. We pride ourselves on helping people - by ordering refunds or restitution for consumers, by enhancing the efficiency and effectiveness of state government, and by working to maintain robust, healthy financial industries.

Washington General Service employees in the unit are represented by the Washington Federation of State Employees (WFSE). This position is a non-represented position.  Some of What You Will Do:

• Effectively oversee and manage the enforcement unit supervisors and staff.

• 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 review 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.

• Assist executive management as necessary.

Required Competencies:

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

Desired Qualifications:

• Criminal Prosecution experience.

• Criminal or civil litigation experience.

Desired Knowledge of:

• Personnel management.

• Financial organization, practices and internal controls of non-depository and depository financial services companies.

• State and federal statutes and rules applicable to non-depository and depository financial services companies.

• Court decisions and regulatory opinions applicable to federal and state non-depository and depository financial services companies.

• Washington statutes and regulations implemented by the Agency and their relationship to federal statutes and regulations and the statutes and regulations, uniform legislation or model rules, state and federal guidance, and other comparable states' statutes and regulations.

• The state and federal Administrative Procedures Act

• Federal and state Financial Crimes and Consumer Protection Laws.

• Non-depository and depository financial services companies' information systems software and hardware and examination techniques and internal controls of those systems.

• Economic principles and theoretical principles and practices of auditing and accounting (GAAP).

• The impact of broadening the regulation of non-depository and depository financial institutions or financial services companies or issuers.

• Federal preemption concepts and policy implications.

• Financial holding company provisions allowed by federal law.

• Advanced investigation techniques

• Budget processes.

• Media relations.

• Financial trends analysis.

Official Work Station:

Your official work station will be defined as the Tumwater Headquarters Office.  A hybrid work schedule is available.

Application Process:

Applications for this recruitment will be accepted electronically.  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 select the "Apply" button and attach the following materials to their application:

• Cover Letter

• Resume

• Law School 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 will be conducted 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.

Contact Information:

Tom Grant

360-725-7817

tom.grant@dfi.wa.gov