NEOGOV · 4 days ago
Financial Examiner 2-4
Thurston County – Tumwater, WA
Full-time
Hybrid
Mid Level
$5,812/mo - $10,004/mo
3+ years expNEOGOV is seeking a Financial Examiner to join the Washington State Department of Financial Institutions. This role involves reviewing licensing applications for investment advisers and broker-dealers, analyzing financial data, and ensuring compliance with financial regulations to protect consumers.
GovTechHuman ResourcesInformation TechnologySoftware
Responsibilities
Perform professional level review of complex investment adviser and investment adviser representative applications
Analyze financial statements, applying capital requirements and other financial ratios to determine compliance with minimum financial requirements
Review application and related disclosure materials, correspondence, and disciplinary history or current complaints and proceedings against the applicant
Interpret, apply and negotiate compliance with applicable statutes, rules and policies
Write comment letters describing substantive and disclosure issues, and discusses alternatives for compliance with the applicant, which may include meetings or conferences with the applicant or representatives
Coordinate and communicate review status and issues with supervisor, other staff, and other state and federal regulatory agencies, if applicable
Make decisions and/or recommendations regarding grant of licenses
Consider and makes recommendations on waiver requests
Negotiate special license conditions or terms, as required, with the licensee or counsel in response to legal or regulatory issues
Qualification
Required
12 semester or 20 quarter hours of any combination of finance, economics or accounting college coursework
Preferred
A Bachelor's degree with major study in finance, business administration, economics, or accounting
Three years of professional experience in one of the following: auditing; analyzing or examining regulated entities; working for a regulated entity in advanced positions in the areas of lending, operations, analysis of loan or securities portfolios, auditing, reinsurance, investments, information system reviews, or any combination of these
A Master's degree in a qualifying field of graduation from a specialized banking school gained through an accredited college or university (i.e., Pacific Coast Banking School or equivalent), Certified Examiner from a national regulatory association, Certified Anti-Money Laundering Specialist, or certification as a Certified Financial Examiner from the Society of Financial Examiners, or Washington State qualification as a Certified Public Accountant may substitute for one year of the required experience in financial institutions, financial service companies or issuers
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.
You may be eligible for Public Service Loan Forgiveness.
Employees and their families are covered by medical (including vision), dental and basic life insurance.
Staff are eligible to enroll each year in a medical flexible spending account which enables them to use tax-deferred dollars toward their health care expenses.
Employees are also covered by basic life and long-term disability insurance, with the option to purchase additional coverage amounts.
Dependent care assistance allows the employee to save pre-tax dollars for a child or elder care expenses.
The Washington State Employee Assistance Program promotes the health and well-being of employees.
State Employees are members of the Washington Public Employees' Retirement System (PERS).
Employees also have the ability to participate in the Deferred Compensation Program (DCP).
All state employees are covered by the federal Social Security and Medicare systems.
Full-time and part-time employees are entitled to paid holidays and one paid personal holiday per calendar year.
Full-time employees earn eight hours of sick leave per month.
Full-time employees accrue vacation leave at the rates specified in WAC 357-31-165.
Washington State supports members of the armed forces with 21 days paid military leave per year.
Most employees whose family member or household member dies, or for loss of pregnancy, are entitled to five (5) days of paid bereavement leave.
Company
NEOGOV
NEOGOV is the leading provider of workforce management software uniquely designed for the public sector, education, and public safety.
501-1000 employees
H1B Sponsorship
NEOGOV has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (13)
2024 (10)
2023 (10)
2022 (18)
2021 (14)
2020 (16)
Funding
Current Stage
Late StageTotal Funding
$700MKey Investors
Warburg Pincus
2025-07-28Secondary Market· $700M
2025-07-28Acquired
2021-06-02Private Equity
Leadership Team
Shane Evangelist
CEO
Brandon McDonald
Head Of Marketing
Recent News
Canada NewsWire
2025-11-14
2025-11-14
Government Technology US
2025-10-31
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