Program Manager, Chief of Registration

Description

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 nearly 250 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 atwww.dfi.wa.gov.

About the Division:

The Division of Securities, is a dynamic, professional organization where you will experience a remarkable work-life balance - 40 hour weeks with flexible schedules and a dedicated staff.  If you are interested in a career with an agency whose primary mission is consumer protection, then the Securities Division is for you.  The securities we regulate include cutting edge new products such as cryptocurrency and digital assets, as well as traditional investments such as stocks, bonds and mutual funds.  The Securities Division values diverse perspectives and life experiences. We offer a generous benefits package that includes defined benefit retirement plans, health, dental and vision coverage, and deferred compensation plans.  Additionally, we license and conduct examinations of the people that provide advice and sell these products and take action against those who violate the Securities Act. This includes bringing administrative, civil, and criminal enforcement cases against respondents.

The Registration unit in the Division of Securities is recruiting for a Program Manager, Chief of Registration which is at the Exempt Band 3 level.

Duties

This position is responsible for the supervision of the Registration Unit of the Division.  You will develop strategic business plans and budgets, oversee of the registration programs, oversee securities and franchise exemption and notification filings, recommend Securities, Franchise, Business Opportunity, and Commodity acts legislation and rules, supervise professional staff, coordinate with other federal and state agencies on registrations, establish internal policies and procedures, track workloads and resources, oversee Division responses to public records requests, and handling special projects.  The position will serve as a member of the DFI Program Management team, whose responsibilities include establishing and implementing policies and procedures for the agency.

Some of What You Will Do:

• Review and administer the registration, exemption and notification for sales of securities, franchises, and business opportunities.

• Develop regulatory responses in the form of policy statements, opinion letters, and interpretive statements.

• Coordinate registration activities with other state and federal agencies.

• Participate in the drafting of proposed legislation and rules, and formulation of high-level policies impacting the state’s securities, investment and franchise industries. Testifies at legislative hearings.

• Acts on behalf of the Director of Securities in his or her absence.  

• Handle regulatory, supervisory, and legislative inquiries from regulated entities, other stakeholders, and the general public.

• Develop and review policy and procedural changes in the Division and Agency.

• Participate in the development, implementation, and monitoring of strategic business plans and budget.

• Maintain knowledge of regulatory pronouncements, legislative changes, examination processes, enforcement trends and industry practices.

• Participate in the development and assistance of public education, outreach, and victim support projects. 

• Develop and coordinate special projects for the division.  

• Participate in the agency Program Manager meetings for resolution of administrative, policy, and divisional and cross-divisional issues.  

• Plan, lead, organize, and control the work performed by the organization.  

Qualifications

Required Qualifications:

• Mastery level experience of Securities, Franchise, Business Opportunity and Commodities laws.
• Mastery level experience reviewing procedures, analysis and decision-making to securities, franchise, business opportunity, and commodity application and licensing requirements.  
• Possess strong communication skills.
• Ability to interpret and manage data to improve productivity and performance results.
• High level comprehension, interpretation and influencing of financial industry trends and business practices. 
• Extensive experience performing strategic planning and management.

Desired Qualifications:

• a Juris Doctor degree or equivalent law degree is preferred.

Supplemental Information

Official Work Station:
The Tumwater Headquarters is your official workstation.  This position offers a hybrid schedule of both office and telework opportunities.  There may be a minor level of travel involved (less than 5%). 

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
• 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.

* Salary depicts the projected 2% general wage increase effective July 1, 2026.  

Contact Information:
Tom Grant
360-725-7817
Recruiting@dfi.wa.govortom.grant@dfi.wa.gov