Job Posting: Regulatory Examiner

Department of Financial Protection and Innovation

JC-438263
-
Regulatory Examiner
FINANCIAL INSTITUTIONS EXAMINER

$4,645.00 - $9,049.00 per Month

Final Filing Date: 7/12/2024

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one permanent, full-time, Financial Institutions Examiner position within the Division of Corporations and Financial Institutions, Escrow and Mortgage Lending Office. Position to be located in the Sacramento, San Francisco, Los Angeles, or San Diego office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.
  

Under the general direction of the Financial Institutions Manager, the Financial Institutions Examiner (FIE) coordinates, and assists in the development and maintenance of the examination programs under the California Residential Mortgage Lending Act (CRMLA) for the Escrow and Mortgage Lending Office.
 

You will find additional information about the job in the Duty Statement.

Working Conditions

Sacramento Location: The Sacramento office will be relocating from our current Arena Blvd. location to the brand new state-of-the-art May Lee State Office Complex in Sacramento's River District by Spring of 2025.

 

San Francisco Location: The San Francisco office is located in the heart of the financial district within walking distance to BART and restaurants.

 

Los Angeles Location: The Los Angeles office is located in the heart of the downtown financial district within walking distance to restaurants, transit, multiple parking options.

 

San Diego Location: The San Diego office is located in the heart of Mission Valley, within walking distance to many shops and restaurants.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Additional Documents

Position Details

Job Code #:
JC-438263
Position #(s):
410-123-4101-368
Working Title:
Regulatory Examiner
Classification:
FINANCIAL INSTITUTIONS EXAMINER
$4,645.00 - $9,049.00   

CalHR has authorized the DFPI to pay candidates hired in at the Financial Institutions Examiner level (Range A) a hire above minimum (H.A.M.) rate of $5,441.00.

 
**In accordance with the SEIU MOU, a 3% General Salary Increase is anticipated with the July 2024 Pay Period (effective 7/01/2024), and is not reflected in the salary listed.  

 

Range A: $4,645.00 - $6,180.00

Range B: $5,994.00 - $7,509.00

Range C: $7,229.00 - $9,049.00

# of Positions:
1
Work Location:
United States
Telework:
Hybrid
Job Type:
Permanent, Full Time

Department Information

The Department of Financial Protection and Innovation (DFPI) protects consumers and oversees financial service providers and products. The DFPI supervises the operations of state-licensed financial institutions, including banks, credit unions and money transmitters. Additionally, the DFPI licenses and regulates a variety of financial service providers, including securities brokers and dealers, investment advisers, payday lenders and other consumer finance lenders. The DFPI offers benefit packages, competitive salary, a robust training program and opportunities for advancement.  

Department Website: https://dfpi.ca.gov/

Special Requirements

  • The position(s) require(s) a Background Investigation be cleared prior to being hired.

The position requires incumbents pass a Background Investigation prior to being hired. The Background Investigation may include Criminal Background, Fingerprinting, and a review of any governmental records.  In addition, other available sources of background information may be reviewed prior to appointment.

 

FINGERPRINT

Title 11, section 703 (d) of the California Code of Regulations requires criminal record checks of all personnel who have access to Criminal Offender Record Information (CORI). Pursuant to this requirement, applicants for this position will be required to submit fingerprints to the Department of Justice and be cleared before hiring. In accordance to DFPI’s (CORI) procedures, clearance shall be maintained while employed in a CORI-designated position. Additionally, the position routinely works with sensitive and confidential issues and/or materials and is expected to maintain the privacy and confidentiality of documents and topics pertaining to individuals or to sensitive program matters at all times.

CONFLICT OF INTEREST

This position is subject to Title 10, § 250.30 of the California Code of Regulations, the Department of Financial Protection and Innovation’s Conflict of Interest Regulations, the incumbent is required to submit a Statements of Economic Interests (Form 700) within 30 days of assuming office, annually by April 1st and within 30 days of leaving office.  

 

Application (Std. 678) must be completed in detail to demonstrate the quality and breadth of work experience necessary to meet the minimum qualifications for this classification.
  

Unofficial Transcripts: Provide a copy of your college transcripts that contain the following information: name of institutions, completion date of degree conferred, and semester or quarter credits earned. An official transcript will be required prior to appointment. Foreign education credential evaluation services can be found at: Evaluation of Foreign Degrees - United States Department of State.

  

Additional Filing Instructions:
 

  • You are encouraged to apply electronically through your CalCareers account.
  • If applying with a hard copy application, please reference “JC-438263/RPA# EMLO 24-261” in the Job Title section of your State application in order to be considered for this vacancy.
  • Hard copy applications not received or postmarked by 5:00 pm on the final filing date will not be accepted.
  • Emailed and faxed applications will not be accepted.

Application Instructions

Completed applications and all required documents must be received or postmarked by the Final Filing Date in order to be considered. Dates printed on Mobile Bar Codes, such as the Quick Response (QR) Codes available at the USPS, are not considered Postmark dates for the purpose of determining timely filing of an application.

Final Filing Date: 7/12/2024

Who May Apply

Individuals who are currently in the classification, eligible for lateral transfer, eligible for reinstatement, have list eligibility, are in the process of obtaining list eligibility, or have SROA and/or Surplus eligibility (please attach your letter, if available). SROA and Surplus candidates are given priority; therefore, individuals with other eligibility may be considered in the event no SROA or Surplus candidates apply. Individuals who are eligible for a Training and Development assignment may also be considered for this position(s).

Applications will be screened and only the most qualified applicants will be selected to move forward in the selection process. Applicants must meet the Minimum Qualifications stated in the Classification Specification(s).

How To Apply

Complete Application Packages (including your Examination/Employment Application (STD 678) and applicable or required documents) must be submitted to apply for this Job Posting. Application Packages may be submitted electronically through your CalCareer Account at www.CalCareers.ca.gov. When submitting your application in hard copy, a completed copy of the Application Package listing must be included. If you choose to not apply electronically, a hard copy application package may be submitted through an alternative method listed below:

Address for Mailing Application Packages

You may submit your application and any applicable or required documents to:

Department of Financial Protection and Innovation
Attn: Leslie Pease
Human Resources Office
2101 Arena Blvd.
Sacramento, CA 95834

Address for Drop-Off Application Packages

You may drop off your application and any applicable or required documents at:

Department of Financial Protection and Innovation
Leslie Pease
Human Resources Office
2101 Arena Blvd.
Sacramento, CA 95834
08:00 AM - 05:00 PM

Required Application Package Documents

The following items are required to be submitted with your application. Applicants who do not submit the required items timely may not be considered for this job:

  • Current version of the State Examination/Employment Application STD Form 678 (when not applying electronically), or the Electronic State Employment Application through your Applicant Account at www.CalCareers.ca.gov. All Experience and Education relating to the Minimum Qualifications listed on the Classification Specification should be included to demonstrate how you meet the Minimum Qualifications for the position.
  • Resume is required and must be included.
  • School Transcripts
  • Statement of Qualifications -

    A Statement of Qualifications (SOQ) is required for this job vacancy. See the “Statement of Qualifications Instructions” section below for specific instructions regarding your SOQ response. Resumes, cover letters, and/or other documents do not take the place of this SOQ requirement.

Applicants requiring reasonable accommodations for the hiring interview process must request the necessary accommodations if scheduled for a hiring interview. The request should be made at the time of contact to schedule the interview. Questions regarding reasonable accommodations may be directed to the EEO contact listed on this job posting.

Desirable Qualifications

In addition to evaluating each candidate's relative ability, as demonstrated by quality and breadth of experience, the following factors will provide the basis for competitively evaluating each candidate:
 

• Possession of excellent written and oral communication skills to communicate examination findings to licensees.

• Ability to create and maintain an effective working relationship with management, staff, licensees and the general public.

• Ability to manage multiple examinations, projects, and changing priorities.

• Exceptional interpersonal skills utilizing sound judgment, discretion, tact and a high degree of professionalism.

• Ability to secure and analyze information, evidence and facts and render sound status determination.

• Ability to represent the Department before an Administrative Law Judge for Enforcement related hearing purposes.

• Willingness to travel to various licensee locations throughout the state, other DFPI offices, and occasional out-of-state travel for examination and/or training purposes.

Benefits

State employees may be eligible for health, dental, vision and leave benefits, as well as retirement programs and other benefits. Benefit eligibility may depend on length of service and may be subject to collective bargaining agreements, which are contracts negotiated between the State of California and employee organizations that define employees’ wages, hours and conditions of employment. Other possible benefits include:
 

  • Alternate Work Schedules
  • Telework
  • Reimbursement Accounts

 
Benefit information can be found on the CalHR website and the CalPERS website.

Contact Information

The Human Resources Contact is available to answer questions regarding the position or application process.

Department Website: https://dfpi.ca.gov/
Human Resources Contact:
Leslie Pease
(916) 938-4062
leslie.pease@dfpi.ca.gov

Please direct requests for Reasonable Accommodations to the interview scheduler at the time the interview is being scheduled. You may direct any additional questions regarding Reasonable Accommodations or Equal Employment Opportunity for this position(s) to the Department's EEO Office.

EEO Contact:
Angelina Endsley
(916) 576-4938
eeo@dfpi.ca.gov
California Relay Service: 1-800-735-2929 (TTY), 1-800-735-2922 (Voice) TTY is a Telecommunications Device for the Deaf, and is reachable only from phones equipped with a TTY Device.

Statement of Qualifications Instructions

In order to be considered for this position, applicants must submit a Statement of Qualifications (SOQ). The SOQ must be no more than two page(s) in length, single-spaced, using Arial 12-point font and must have the applicant's first and last name and Statement of Qualifications in the upper left corner. Application packages received without a SOQ may not be considered. Resumes, cover letters, and Supplemental Applications do not take the place of the SOQ.
   

1. Please describe your education, training, experience, and skills to meet the criteria in the duty statement that make you qualified for the position. Use concrete examples.

Examination Information

Applicants will need to take and pass the online FIE exam/assessment to be eligible to apply for vacant FIE positions. To be admitted into the FIE exam/assessment, applicants must meet the minimum qualifications (Four-year Bachelor's degree in accounting, business administration, economics, finance, or a related business/management specialization or a minimum of 16 semester units of professional accounting courses in elementary and advanced or intermediate accounting, auditing, and cost accounting; and 3 semester hours of business law). The FIE exam/assessment can be found on the CalCareers website at: https://www.jobs.ca.gov/JOBSGEN/0PBBX.PDF

 

Once passing the online FIE exam/assessment, applicants will be eligible to apply for vacant FIE positions posted on the CalCareers website at: https://www.calcareers.ca.gov/ and on the DFPI’s website at: https://dfpi.ca.gov/careers/.

 

Current or former state civil service employees may have lateral transfer eligibility to apply for vacant FIE positions and for questions regarding your employment history consult with your department’s Human Resources Office.

Equal Opportunity Employer

The State of California is an equal opportunity employer to all, regardless of age, ancestry, color, disability (mental and physical), exercising the right to family care and medical leave, gender, gender expression, gender identity, genetic information, marital status, medical condition, military or veteran status, national origin, political affiliation, race, religious creed, sex (includes pregnancy, childbirth, breastfeeding and related medical conditions), and sexual orientation.

It is an objective of the State of California to achieve a drug-free work place. Any applicant for state employment will be expected to behave in accordance with this objective because the use of illegal drugs is inconsistent with the law of the State, the rules governing Civil Service, and the special trust placed in public servants.

Application Methods:
Electronic (Using your CalCareer Account)
By Mail
Drop-off
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