Program Manager, Chief of Registration

State of Washington • Thurston County – Olympia, WA

1d • Hybrid

About The Position

This position is responsible for the supervision of the Registration Unit of the Division of Securities. The Program Manager will develop strategic business plans and budgets, oversee registration programs, securities and franchise exemption and notification filings, recommend legislation and rules for Securities, Franchise, Business Opportunity, and Commodity acts, 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 handle special projects. The position will serve as a member of the DFI Program Management team, responsible for establishing and implementing agency policies and procedures. Key duties include reviewing and administering registration, exemption, and notification for sales of securities, franchises, and business opportunities; developing regulatory responses; coordinating registration activities with other agencies; participating in drafting legislation and rules; testifying at legislative hearings; acting on behalf of the Director of Securities in their absence; handling inquiries; developing and reviewing policy and procedural changes; participating in strategic business plan and budget development; maintaining knowledge of regulatory pronouncements and industry practices; participating in public education and outreach projects; developing and coordinating special projects; and participating in agency Program Manager meetings.

Requirements

• 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.
• 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.

Nice To Haves

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

Responsibilities

• Supervise the Registration Unit of the Division of Securities.
• Develop strategic business plans and budgets.
• Oversee registration programs, 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.
• Handle special projects.
• Serve as a member of the DFI Program Management team.
• 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.
• Testify at legislative hearings.
• Act 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.

Benefits

• Medical, dental, retirement, and generous paid vacation, sick leave, and holidays.
• 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.
• May be eligible for Public Service Loan Forgiveness.
• Defined benefit retirement plans.
• Health, dental and vision coverage.
• Deferred compensation plans.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager