Financial Examiner

Information Security Financial Examiner 2-4

Posted 3 days ago. Be among the first 25 applicants.

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 (Use the "Apply for this Job" box below)..

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.

• 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.

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.

The Licensing and Examination Unit is recruiting for a Financial Examiner (levels 2‑4, depending on qualifications).

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.

• 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.

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.

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%.

Applications are accepted electronically. Submitting your application materials confirms that…