Indicates whether if this vacancy posting is part of the NY HELPS Program.NY HELPNo

The agency in which the vacancy exists.AgencyFinancial Services, Department of

The job title for the vacancy.TitleSenior Enforcement Counsel (Director Financial Services Programs 3, NS)

The job title for the vacancy.Occupational CategoryAdministrative or General Management

The salary grade for this vacancy. Salaries are determined by salary grade and bargaining unit.Salary GradeNS

The collective bargaining unit to which this vacancy is assigned.Bargaining UnitM/C - Managerial/Confidential (Unrepresented)

The minimum and maximum of the salary range for this vacancy.Salary RangeFrom $111925 to $141439 Annually

Indicates whether this job is full-time or part-time. If the job is part-time, an estimated percentage will be provided. Employment Type Full-Time

This indicates the type of job, typically permanent, temporary, or provisional. 'Provisional' means that the appointment will be temporary until the incumbent takes and passes an appropriate civil service examination. Appointment Type Permanent

Jurisdictional class is the indicator for how this job can be filled. The classified service is governed by the Civil Service Commission, and consists of competitive, non-competitive, exempt, and labor classes. 'Competitive class' indicates that the applicant must take and pass an appropriate civil service examination. 'Non-competitive class' indicates that the applicant's qualifications will be evaluated without a civil service examination. 'Exempt class' indicates that the applicant will be evaluated by methods other than competitive or non-competitive, and that incumbents will not be granted tenure. 'Labor class' requires that applicants possess skills or other physical characteristics that cannot effectively be evaluated by other means. The unclassified service is legislatively defined, and includes such positions as elected officials, department and agency heads, and all academic personnel in public schools, colleges, and universities. Jurisdictional Class Exempt Class

Estimates the percentage of time incumbents of this vacancy will be required to travel. Travel Percentage 0%

This provides information on the expected workweek. Workweek Mon-Fri

The number of hours in the workweek, typically 37.5 or 40 for full time, or any other number for part time.Hours Per Week 37.50

Workday

The start time for this vacancy. If the agency employs flextime, this will be the earliest time this vacancy's shift can start. From 8 AM

The end time for this vacancy. If the agency employs flextime, this will be the latest time this vacancy's shift can end. To 6 PM

If checked, the agency allows flextime. Flextime allowed? No

If checked, this vacancy includes mandatory overtime. Mandatory overtime? No

If checked, this agency allows compressed workweek scheduling. Compressed workweek allowed? No

If checked, this agency allows telecommuting for this position. Telecommuting allowed? Yes

The county in which the vacancy is located. County To Be Determined

The street address where the vacancy is located. Street Address Albany- One Commerce Plaza

NYC- One State Street

The city where the vacancy is located. City Albany/New York

The state where the vacancy is located (the default is New York). StateNY

The zip code where the vacancy is located. Zip Code12257

The duties that the incumbent of the vacancy will be expected to perform. Duties Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its employees are responsible for empowering consumers and protecting them from financial harm; ensuring the health of the entities we regulate; driving economic growth in New York through responsible innovation; and preserving the stability of the global financial system.

The Department of Financial Services is seeking candidates for the position of Senior Enforcement Counsel in the Enforcement Unit within the Consumer Protection and Financial Enforcement Division (CPFED). Duties include, but are not limited to, the following:

• Proposes and develops new areas and subjects for investigations and develops investigations of identified persons, entities, and/or industries based upon whistleblowers, consumer complaints, and other information;
• Works on investigations of potential violations of the Insurance, Banking, Financial Services, and other state and federal laws, including requestions and reviewing document productions, negotiating discovery disputes, taking testimony, negotiating settlements with opposing counsel, and preparing for and conducting administrative hearings and litigation;
• Conducts legal research;
• Provides legal advice on matters regarding regulatory actions and develops legal approaches to accomplish various departmental objectives;
• Prepares pleadings, motion papers, and memoranda of law in connection with litigation and administrative proceedings;
• Analyzes and evaluates evidence, identifies law violations, and proposes monetary penalties, restitution, injunctive relief and/or referral for prosecution;
• Assists in the review and amendment of Insurance, Banking, Financial Services law regulations, identifying law violations and emerging fraud trends;
• Assists in the review of proposed legislation and regulations and the implementations of passed legislation and adopted regulations;
• Works on drafting new legislation and regulations to assist the Department in fulfilling its mandate;
• Conducts special studies and research about issues and programs of interest to the Division and prepares reports and recommendations as assigned;
• Works on initiatives of the Superintendent and Executive Deputy Superintendent;
• Other duties as assigned.

The minimum qualifications required for this vacancy. Minimum Qualifications Preferred Qualifications

• Admission to the New York State bar in good standing;
• At least 4 years of post-bar legal experience in the finance or banking industry;
• Experience in legislative affairs preferred.


Appointment method:

This is an appointment to a position in the exempt jurisdictional class. As such, the incumbent of this position would serve at the pleasure of the appointing authority.

Additional comments regarding the vacancy. Additional Comments Please note that a change in negotiating unit may affect your salary, insurance and other benefits.

Salary: $111,925 - $141,439 (salary commensurate with experience)

Positions located within the New York City metropolitan area, as well as Suffolk, Nassau, Rockland, and Westchester Counties, are also eligible to receive an additional $3,400 annual downstate adjustment.

Appointment Status: This is an appointment to a position in the exempt jurisdictional class.

Appointment to this position is pending Governor Appointment’s Office and Division of Budget approval.

Some positions may require additional credentials or a background check to verify your identity.

The name of the contact person for this vacancy. Name Nate Keiper

The telephone number to use for questions about this vacancy. Telephone

The fax to use for this vacancy. Fax (518) 402-5071

Email address for emailing applications, or to ask questions about this vacancy. Email Address NCE.Notifications@DFS.ny.gov

Address

The street address of the contact for this vacancy. Street One Commerce Plaza

Suite 301

The city for the contact for this vacancy. City Albany

The state of the contact for this vacancy (the default is New York). State NY

The zip code for the contact for this vacancy. Zip Code 12257

Instructions for potential applicants.Notes on ApplyingTo Apply: Interested qualified candidates must submit a resume and letter of interest no later than May 13, 2025 to the email address listed below. Please include Box# (Box SEC-DFSP3-10472) in the subject line of your email to ensure receipt of your application. Email submissions are preferred.

Nate Keiper
Box SEC-DFSP3-10472
New York State Department of Financial Services
Office of Human Resources Management
One Commerce Plaza, Suite 301
Albany, NY 12257
Email: NCE.Notifications@dfs.ny.gov
Fax: (518) 402-5071

All candidates that apply may not be scheduled for an interview.


Public Service Loan Forgiveness
Employment with New York State qualifies an individual for Public Service Loan Forgiveness (PSLF). This program forgives the remaining balance on any Direct Student Loans after you have made 120 qualifying monthly payments while working full-time for a U.S. federal, state, local, or tribal government or not-for-profit organization. To learn more about the program and whether you would qualify, please visit: https://studentaid.gov/manage-loans/forgiveness-cancellation/public-service


AMERICANS WITH DISABILITIES ACT: REASONABLE ACCOMMODATIONS
Under the Americans with Disabilities Act (ADA), the Department of Financial Services is required to provide reasonable accommodation for known physical or mental limitations of an otherwise qualified applicant with a disability if an accommodation would enable the applicant to perform the essential functions of the job. If the accommodation would constitute an undue hardship on the operations of the agency, the agency is not required to provide it.

All people with disabilities are encouraged to apply to all jobs for which they meet the minimum qualifications.