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 Assistant Deputy Superintendent for Licensed Financial Services in Licensed Financial Services Division. Duties include, but are not limited to, the following:
• Advises and confers with the unit head to ensure accurate and timely completion of the unit's mandates and projects, and Department's initiatives;
• Assists with 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;
• Assists with 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;
• Coordinates 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;
• Assists on various special projects and other duties, as needed.
Minimum Qualifications 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; and
• Strong written and oral communication skills
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 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; and
• Strong written and oral communication skills
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.
Some positions may require additional credentials or a background check to verify your identity.
Name Kara Waters
Telephone
Email Address
[email protected] AddressStreet One Commerce Plaza
Suite 301
City Albany
State NY
Zip Code 12257
Notes on Applying To Apply: Interested qualified candidates must submit a resume and letter of interest no later than July 31, 2026 to the email address listed below. Please include Box# (Box ADSLFS-ADS-10221) in the subject line of your email to ensure receipt of your application. Email submissions are preferred.
Please be advised that the New York State Department of Financial Services does not offer sponsorship for employment visas.
Kara Waters
Box ADSLFS-ADS-10221
New York State Department of Financial Services
Office of Human Resources Management
One Commerce Plaza, Suite 301
Albany, NY 12257
Email:
[email protected]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
