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Finance - General Attorney in Tumwater, WA

Washington State Department of Financial Institutions Mar 21,2018 Mar 20,2018 Location Tumwater WA
This job is expired...

Government

Attorney

Finance - General

Profile

Financial Legal Examiner 1, 2, 3, 4 DUTIES: Under supervision, supports the mission of the agency by reviewing initial licensing applications of investment advisers and broker-dealers and their representatives. Conducts examinations of investment advisers, broker-dealers and their representatives and analyzes associated financial records that may lead to administrative, civil or criminal actions. Implementing and enforcing laws regulating financial institutions and consumer protection laws. Conducts examinations of investment advisers, including portfolio managers, which may involve a team of examiners. Functions as intermediary in coordinating requests for records and communications between exam team and investment adviser's management and personnel. Evaluates investment and financial integrity of investment advisors to ensure adequacy of capital, revenue and income. Interprets state/federal laws and reviews investment adviser books and records in determining compliance with all applicable statues and regulations. Evaluates investment strategies to determine suitability of investments for clients. Performs thorough analysis and review of legal contracts and verifies compliance with regulations governing unethical business practices. Provides specific written reports and verbal recommendations to registrants directors and management to remedy identified areas of non-compliance. Conduct examinations of multi-state and regional broker-dealers. Assist with examinations of securities and investment firms of any size involving specialized and complex fields such as: day trading, market-making activities of firms, due diligence review of brokerage firms bringing high-risk securities of newly formed companies to the financial markets and evaluates adequacy of registrant supervisor, compliance and administration. Assist with reports and deficiency letter detailing examination findings. Work with enforcement attorney to bring appropriate resolution of serious examination deficiencies, including law violations. Conduct examinations in response to requests from the Enforcement Section for purposes of investigating consumer allegations of fraud, conversation of assets, theft and sale practice violations.

Qualification and Experience

Qualifications: Graduation from an accredited law school. Desired: 12 semester or 20 quarter hours in accounting, finance or economics. Membership with the Washington State Bar Association (WSBA). Two years professional experience in accounting, auditing or examining regulated entities. Applicants who will take the bar exam in Spring/Summer 2018 and/or are awaiting their results are encouraged and eligible to apply.
CLOSING DATE: 04/02/18 11:59 PM

Additional info

Send Cover Letter, Resume, 3 professional references (provide contact name, phone number, email address, company name, and job title), Unofficial College and Law School Transcripts.

Company info