State of Washington
Program Manager, Chief of Enforcement
State of Washington, Tumwater, Washington, us, 98511
Salary:
$79,944.00 - $142,512.00 Annually
Location :
Thurston County - Tumwater, WA
Job Type:
Full Time - Permanent
Remote Employment:
Flexible/Hybrid
Job Number:
2411CSPMCHENF(46)
Department:
Dept. of Financial Institutions
Division:
Division of Consumer Services
Opening Date:
11/04/2024
Closing Date:
12/1/2024 11:59 PM Pacific
Description
Providing Regulatory Oversight for Our State's Financial Service Providers
The Division of Consumer Services is the largest Division at the Department of Financial Institutions, which oversees thousands of licensees that operate in various financial industries. The Chief of Enforcement role is part of the Division's Leadership Team and reports directly to the Director of Consumer Services. The Chief of Enforcement plays an integral role for the Division, overseeing all enforcement activities, including taking administrative action against licensed and unlicensed entities and people, overseeing the consumer complaint process, and supervising a team of attorneys and non-attorneys. This position is also a member of the Program Manager team at the Agency level.This unit is represented by the Washington Federation of State Employees (WFSE).Duties
Some of What You Will Do:Supervise a represented staff in the Enforcement Unit, which includes attorneys and non-attorneys.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 reviews 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.Serves as a Program Manager at the Agency level.Assist executive management as necessary.
Qualifications
Required Qualifications:
A Juris Doctor (JD) or equivalent law degree, and good standing with the Washington State Bar Association.
Desired Knowledge of:
Financial organization, practices and internal controls of non-depository and depository financial services companies.Personnel management.Labor relations experience - supervising and managing in a unionized environmentThe state and federal Administrative Procedures Act.Federal and state Financial Crimes and Consumer Protection Laws.State and federal statutes and rules applicable to non-depository and depository financial services companies.Relationship of Washington statutes and regulations implemented by the Agency to uniform legislation or model rules and guidelines and to federal statutes and regulations and the statutes and regulations of other states comparable.Non-depository and depository financial services companies' information systems software and hardware and examination techniques and internal controls of those systems.The impact of broadening the regulation of non-depository and depository financial institutions or financial services companies or issuers.Court decisions and regulatory opinions applicable to federal and state non-depository and depository financial services companies.Advanced investigation techniques.Budget processes.Financial trends analysis.Financial holding company provisions allowed by federal law.Economic principles and theoretical principles and practices of auditing and accounting (GAAP).Media relations.
Supplemental Information
Benefits of working for DFI include:
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.
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. Collectively and independently, the Department's 200-plus 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
The DFI values diverse perspectives and life experiences. 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.
Official Work Station:Your official work station will be 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 LetterResumeUnofficial Law School College TranscriptsThree 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 may be conducted in person or 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 and Manny Udarbe/360-725-7805Recruiting@dfi.wa.gov
More than Just a Paycheck!Employee benefits are not just about the kind of services you get, they are also about how much you may have to pay out of pocket. Washington State offers one of the most competitive benefits packages in the nation.
We understand that your life revolves around more than just your career. Like everyone, your first priority is ensuring that you and your family will maintain health and financial security. That's why choice is a key component of our benefits package. We have a selection of health and retirement plans, paid leave, staff training and other compensation benefits that you can mix and match to meet your current and future needs.
Read about our benefits:The following information describes typical benefits available for full-time employees who are expected to work more than six months. Actual benefits may vary by appointment type or be prorated for other than full-time work (e.g. part-time); view the job posting for benefits details for job types other than full-time.
Note:
If the position offers benefits which differ from the following, the job posting should include the specific benefits.
Insurance BenefitsEmployees and their families are covered by medical (including vision), dental and basic life insurance. There are multiple medical plans with affordable monthly premiums that offer coverage throughout the state.
Staff are eligible to enroll each year in a medical flexible spending account which enables them to use tax-deferred dollars toward their health care expenses. Employees are also covered by basic life and long-term disability insurance, with the option to purchase additional coverage amounts.
To view premium rates, coverage choice in your area and how to enroll, please visit the Public Employees Benefits Board (PEBB) website. The Washington Wellness program from the Health Care Authority works with PEBB to support our workplace wellness programs.
Dependent care assistance allows the employee to save pre-tax dollars for a child or elder care expenses.
Other insurance coverage for auto, boat, home, and renter insurance is available through payroll deduction.
The Washington State Employee Assistance Program promotes the health and well-being of employees.
Retirement and Deferred CompensationState Employees are members of the Washington Public Employees' Retirement System (PERS). New employees have the option of two employer contributed retirement programs. For additional information, check out the Department of Retirement Systems' web site.
Employees also have the ability to participate in the Deferred Compensation Program (DCP). This is a supplemental retirement savings program (similar to an IRA) that allows you control over the amount of pre-tax salary dollars you defer as well as the flexibility to choose between multiple investment options.
Social SecurityAll state employees are covered by the federal Social Security and Medicare systems. The state and the employee pay an equal amount into the system.
Public Service Loan ForgivenessIf you are employed by a government or not-for-profit organization, and meet the qualifying criteria, you may be eligible to receive student loan forgiveness under the Public Service Loan Forgiveness Program.
HolidaysFull-time and part-time employees are entitled to paid holidays and one paid personal holiday per calendar year.
Note:
Employees who are members of certain Unions may be entitled to additional personal leave day(s), please refer to position specific Collective Bargaining Agreements for more information.
Full-time employees who work full monthly schedules qualify for holiday compensation if they are employed before the holiday and are in pay status for at least 80 nonovertime hours during the month of the holiday; or for the entire work shift preceding the holiday.
Part-time employees who are in pay status during the month of the holiday qualify for the holiday on a pro-rata basis. Compensation for holidays (including personal holiday) will be proportionate to the number of hours in pay status in the month to that required for full-time employment, excluding all holiday hours. Pay status includes hours worked and time on paid leave.
Sick LeaveFull-time employees earn eight hours of sick leave per month. Overtime eligible employees who are in pay status for less than 80 hours per month, earn a monthly proportionate to the number of hours in pay status, in the month to that required for full-time employment. Overtime exempt employees who are in pay status for less than 80 hours per month do not earn a monthly accrual of sick leave.
Sick leave accruals for part-time employees will be proportionate to the number of hours in pay status, in the month to that required for full-time employment. Pay status includes hours worked, time on paid leave and paid holiday.
Vacation (Annual Leave)Full-time employees accrue vacation leave at the rates specified in (1) or the applicable collective bargaining agreement (CBA). Full-time employees who are in pay status for less than 80 nonovertime hours in a month do not earn a monthly accrual of vacation leave.
Part-time employees accrue vacation leave hours in accordance with (1) or the applicable collective bargaining agreement (CBA) on a pro rata basis. Vacation leave accrual will be proportionate to the number of hours in pay status, in the month to that required for full-time employment.
Pay status includes hours worked, time on paid leave and paid holiday.
As provided in , an employer may authorize a lump-sum accrual of vacation leave or accelerate the vacation leave accrual rate to support the recruitment and/or retention of a candidate or employee for a Washington Management Service position. Vacation leave accrual rates may only be accelerated using the rates established WAC 357-31-165.
Note:
Most agencies follow the civil service rules covering leave and holidays for
exempt
employees even though there is no requirement for them to do so. However, agencies are required to adhere to the applicable RCWs pertaining holidays and leave.
Military LeaveWashington State supports members of the armed forces with 21 days paid military leave per year.
Bereavement LeaveMost employees whose family member or household member dies, are entitled to three (3) days of paid bereavement leave. In addition, the employer may approve other available leave types for the purpose of bereavement leave.
Additional LeaveLeave Sharing
Family and Medical Leave Act (FMLA)Leave Without Pay
Please visit the State HR Website for more detailed information regarding benefits.
Updated 12-31-2022
$79,944.00 - $142,512.00 Annually
Location :
Thurston County - Tumwater, WA
Job Type:
Full Time - Permanent
Remote Employment:
Flexible/Hybrid
Job Number:
2411CSPMCHENF(46)
Department:
Dept. of Financial Institutions
Division:
Division of Consumer Services
Opening Date:
11/04/2024
Closing Date:
12/1/2024 11:59 PM Pacific
Description
Providing Regulatory Oversight for Our State's Financial Service Providers
The Division of Consumer Services is the largest Division at the Department of Financial Institutions, which oversees thousands of licensees that operate in various financial industries. The Chief of Enforcement role is part of the Division's Leadership Team and reports directly to the Director of Consumer Services. The Chief of Enforcement plays an integral role for the Division, overseeing all enforcement activities, including taking administrative action against licensed and unlicensed entities and people, overseeing the consumer complaint process, and supervising a team of attorneys and non-attorneys. This position is also a member of the Program Manager team at the Agency level.This unit is represented by the Washington Federation of State Employees (WFSE).Duties
Some of What You Will Do:Supervise a represented staff in the Enforcement Unit, which includes attorneys and non-attorneys.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 reviews 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.Serves as a Program Manager at the Agency level.Assist executive management as necessary.
Qualifications
Required Qualifications:
A Juris Doctor (JD) or equivalent law degree, and good standing with the Washington State Bar Association.
Desired Knowledge of:
Financial organization, practices and internal controls of non-depository and depository financial services companies.Personnel management.Labor relations experience - supervising and managing in a unionized environmentThe state and federal Administrative Procedures Act.Federal and state Financial Crimes and Consumer Protection Laws.State and federal statutes and rules applicable to non-depository and depository financial services companies.Relationship of Washington statutes and regulations implemented by the Agency to uniform legislation or model rules and guidelines and to federal statutes and regulations and the statutes and regulations of other states comparable.Non-depository and depository financial services companies' information systems software and hardware and examination techniques and internal controls of those systems.The impact of broadening the regulation of non-depository and depository financial institutions or financial services companies or issuers.Court decisions and regulatory opinions applicable to federal and state non-depository and depository financial services companies.Advanced investigation techniques.Budget processes.Financial trends analysis.Financial holding company provisions allowed by federal law.Economic principles and theoretical principles and practices of auditing and accounting (GAAP).Media relations.
Supplemental Information
Benefits of working for DFI include:
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.
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. Collectively and independently, the Department's 200-plus 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
The DFI values diverse perspectives and life experiences. 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.
Official Work Station:Your official work station will be 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 LetterResumeUnofficial Law School College TranscriptsThree 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 may be conducted in person or 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 and Manny Udarbe/360-725-7805Recruiting@dfi.wa.gov
More than Just a Paycheck!Employee benefits are not just about the kind of services you get, they are also about how much you may have to pay out of pocket. Washington State offers one of the most competitive benefits packages in the nation.
We understand that your life revolves around more than just your career. Like everyone, your first priority is ensuring that you and your family will maintain health and financial security. That's why choice is a key component of our benefits package. We have a selection of health and retirement plans, paid leave, staff training and other compensation benefits that you can mix and match to meet your current and future needs.
Read about our benefits:The following information describes typical benefits available for full-time employees who are expected to work more than six months. Actual benefits may vary by appointment type or be prorated for other than full-time work (e.g. part-time); view the job posting for benefits details for job types other than full-time.
Note:
If the position offers benefits which differ from the following, the job posting should include the specific benefits.
Insurance BenefitsEmployees and their families are covered by medical (including vision), dental and basic life insurance. There are multiple medical plans with affordable monthly premiums that offer coverage throughout the state.
Staff are eligible to enroll each year in a medical flexible spending account which enables them to use tax-deferred dollars toward their health care expenses. Employees are also covered by basic life and long-term disability insurance, with the option to purchase additional coverage amounts.
To view premium rates, coverage choice in your area and how to enroll, please visit the Public Employees Benefits Board (PEBB) website. The Washington Wellness program from the Health Care Authority works with PEBB to support our workplace wellness programs.
Dependent care assistance allows the employee to save pre-tax dollars for a child or elder care expenses.
Other insurance coverage for auto, boat, home, and renter insurance is available through payroll deduction.
The Washington State Employee Assistance Program promotes the health and well-being of employees.
Retirement and Deferred CompensationState Employees are members of the Washington Public Employees' Retirement System (PERS). New employees have the option of two employer contributed retirement programs. For additional information, check out the Department of Retirement Systems' web site.
Employees also have the ability to participate in the Deferred Compensation Program (DCP). This is a supplemental retirement savings program (similar to an IRA) that allows you control over the amount of pre-tax salary dollars you defer as well as the flexibility to choose between multiple investment options.
Social SecurityAll state employees are covered by the federal Social Security and Medicare systems. The state and the employee pay an equal amount into the system.
Public Service Loan ForgivenessIf you are employed by a government or not-for-profit organization, and meet the qualifying criteria, you may be eligible to receive student loan forgiveness under the Public Service Loan Forgiveness Program.
HolidaysFull-time and part-time employees are entitled to paid holidays and one paid personal holiday per calendar year.
Note:
Employees who are members of certain Unions may be entitled to additional personal leave day(s), please refer to position specific Collective Bargaining Agreements for more information.
Full-time employees who work full monthly schedules qualify for holiday compensation if they are employed before the holiday and are in pay status for at least 80 nonovertime hours during the month of the holiday; or for the entire work shift preceding the holiday.
Part-time employees who are in pay status during the month of the holiday qualify for the holiday on a pro-rata basis. Compensation for holidays (including personal holiday) will be proportionate to the number of hours in pay status in the month to that required for full-time employment, excluding all holiday hours. Pay status includes hours worked and time on paid leave.
Sick LeaveFull-time employees earn eight hours of sick leave per month. Overtime eligible employees who are in pay status for less than 80 hours per month, earn a monthly proportionate to the number of hours in pay status, in the month to that required for full-time employment. Overtime exempt employees who are in pay status for less than 80 hours per month do not earn a monthly accrual of sick leave.
Sick leave accruals for part-time employees will be proportionate to the number of hours in pay status, in the month to that required for full-time employment. Pay status includes hours worked, time on paid leave and paid holiday.
Vacation (Annual Leave)Full-time employees accrue vacation leave at the rates specified in (1) or the applicable collective bargaining agreement (CBA). Full-time employees who are in pay status for less than 80 nonovertime hours in a month do not earn a monthly accrual of vacation leave.
Part-time employees accrue vacation leave hours in accordance with (1) or the applicable collective bargaining agreement (CBA) on a pro rata basis. Vacation leave accrual will be proportionate to the number of hours in pay status, in the month to that required for full-time employment.
Pay status includes hours worked, time on paid leave and paid holiday.
As provided in , an employer may authorize a lump-sum accrual of vacation leave or accelerate the vacation leave accrual rate to support the recruitment and/or retention of a candidate or employee for a Washington Management Service position. Vacation leave accrual rates may only be accelerated using the rates established WAC 357-31-165.
Note:
Most agencies follow the civil service rules covering leave and holidays for
exempt
employees even though there is no requirement for them to do so. However, agencies are required to adhere to the applicable RCWs pertaining holidays and leave.
Military LeaveWashington State supports members of the armed forces with 21 days paid military leave per year.
Bereavement LeaveMost employees whose family member or household member dies, are entitled to three (3) days of paid bereavement leave. In addition, the employer may approve other available leave types for the purpose of bereavement leave.
Additional LeaveLeave Sharing
Family and Medical Leave Act (FMLA)Leave Without Pay
Please visit the State HR Website for more detailed information regarding benefits.
Updated 12-31-2022