About the Division:

This position is responsible for the supervision of the Registration and Regulatory Affairs 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.

• 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.

• 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.

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

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)