Assistant Deputy Superintendent for Licensed Financial Services, NS

Duties

• Advises and confers with the unit head to ensure accurate and timely completion of the unit’s mandates and projects, and Department’s initiatives;
• Affords assistance in managing, making assignments, coordinating, and scheduling of the activities for those directly supervised;
• Directly supervises, provides guidance, and prepares performance programs and evaluations for direct reports of Financial Services Examiners at various salary grade levels, and Trainees;
• Makes recommendations for new legislation and amendments to existing state legislation/regulations affecting various industries within the unit;
• Affords assistance in reviewing, analyzing, and providing feedback to examiners on draft examination reports including supporting comments and recommendations, particularly for complex and problem entities;
• Prepares and/or reviews various memoranda, and other supervisory material and makes recommendations to the unit head;
• Holds meetings with management and external counsel to discuss trends, problems, and significant examination results;
• Revises and formulates new guidelines to the unit’s operating procedures;
• Determines whether circumstances warrant approval, denial, or additional license/s on complex notifications received from licensees;
• Ensures that communication is forwarded to parties whose activities might require licensing and makes sure follow up is made for proper disposition;
• Collaborates with the Department’s in-house counsel as well as licensees or outside counsel, state regulators, on various planned or existing activities;
• Ensures section’s records are appropriately maintained;
• Represents the Department at various conferences, seminars, and trade association meetings;
• Affords assistance on various special projects and other duties, as needed.

Preferred Qualifications

• At least 7 years of banking experience with strong knowledge of banking policies and procedures and bank examination standards and processes;
• At least five years of experience supervising a large team of examiners;
• At least five years regulatory experience supervising large complex institutions, including planning and conducting mandated examinations on an annual basis;
• Ability to supervise and participate or lead on various projects;
• Strong written and oral communication skills.