Financial Institutions Manager
2 days ago
The Department of Financial Protection and Innovation is seeking a highly skilled Financial Institutions Manager to join our team. As a key member of our Division of Broker-Dealer Investment Adviser Unit, you will be responsible for supervising and regulating assigned licensees and program initiatives.
Key Responsibilities:- Supervise and regulate assigned licensees and program initiatives
- Provide expert guidance on licensing, examination, consumer complaints, and regulation of broker-dealers, investment advisers, and their agents and representatives
- Collaborate with the Deputy Commissioner of the BDIA Division to develop and implement regulatory strategies
- Review and analyze data to identify trends and areas for improvement
- Bachelor's degree in a related field
- Minimum 5 years of experience in financial regulation or a related field
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
The Los Angeles office is located in the heart of the downtown financial district, within walking distance to restaurants, transit, and multiple parking options.
Special Requirements:- Background Investigation clearance prior to being hired
- Pass a Background Investigation prior to being hired
Please note that this position is subject to Title 10, section 3830 of the California Code of Regulations, the Department of Financial Protection and Innovation's Conflict of Interest Regulations.
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Financial Institutions Manager
2 weeks ago
Los Angeles, California, United States Department of Financial Protection and Innovation Full timeJob Title: Financial Institutions ManagerThe Department of Financial Protection and Innovation is seeking a highly skilled Financial Institutions Manager to join our team. As a key member of our Division of Broker-Dealer Investment Adviser Unit, you will be responsible for supervising and regulating assigned licensees and program initiatives.Key...
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