Job Posting: Financial Institutions Examiner – Licensing

Department of Financial Protection and Innovation

JC-462141
-
Financial Institutions Examiner – Licensing
FINANCIAL INSTITUTIONS EXAMINER

$4,784.00 - $9,320.00 per Month

Final Filing Date: 1/20/2025

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for two (2), Limited Term/Full-time Financial Institutions Examiner (FIE) positions in the Broker Dealer/Investment Adviser Regulations Office – North. These positions are to be located in the Sacramento office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

The Financial Institutions Examiner (FIE) performs licensing application reviews for required qualification of investment advisers and broker-dealers and performs technical and administrative duties to ensure compliance with provisions of the Corporate Securities Law of 1968 (“Law”) and the rules thereunder and assists in developing procedures and program activities for the unit.


This is a Limited Term position that may be extended up to 24 months or may become permanent.


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 $5,604.00.

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.

 

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Additional Documents

Position Details

Job Code #:
JC-462141
Position #(s):
410-121-4101-117
410-121-4101-010
Working Title:
Financial Institutions Examiner – Licensing
Classification:
FINANCIAL INSTITUTIONS EXAMINER
$4,784.00 - $6,365.00 A
$6,174.00 - $7,734.00 B
$7,446.00 - $9,320.00 C
# of Positions:
2
Work Location:
Sacramento County
Telework:
Hybrid
Job Type:
12 Month Limited Term - 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. 461979

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.

Additional Filing Instructions:

  • You are encouraged to apply electronically through your CalCareers account.
  • If applying with a hard copy application, please reference “JC-462141/RPA# BDIA 25-058 & BDAI 25-XXX” 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.

 Do not provide any personal identifying information on the documents (Social Security Number, Date of Birth, etc.) you submit with your application.  Additionally, do not complete or submit the Equal Employment Opportunity, page 10 of the Std. 678 with your application page. The EEO page is for examination use only. Furthermore, do not provide any LEAP information with your application package.

Interested applicants using education to meet minimum qualification must include a copy of their complete transcripts showing completion of required coursework. Foreign Degrees must provide Degree Evaluation to verify U.S. equivalency. Foreign education credential evaluation services can be found at: Evaluation of Foreign Degrees - United States Department of State.

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: 1/20/2025

Who May Apply

Individuals who are currently in the classification, eligible for lateral transfer, eligible for reinstatement, have list or LEAP 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.

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
N/A
Attn: Phoebe Plumey
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
N/A
Phoebe Plumley
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 optional. It may be included, but is not required.
  • Statement of Qualifications -

    A Statement of Qualifications (SOQ) is required for this position according to the instructions provided. Application packages received without an SOQ as described may not be considered. Please see the Statement of Qualifications Instructions below for specific instructions regarding your SOQ response. Resumes, cover letters, and/or other documents do not take the place of this 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 deficiencies to licensees, Department staff, and upper management
• Ability to create and maintain an effective working relationship with management, staff, licensees, state agencies and the general public
• Ability to manage multiple applications, 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 recommendations
• Ability to represent the Department before an Administrative Law Judge for enforcement related hearing purposes
• Willingness to travel as needed, other DFPI offices, and occasional out-of-state travel for training purposes.

Benefits

DFPI employees are eligible for a number of benefits and working for us is a great opportunity to join a committed team. Benefits include but are not limited to the following:

  • Excellent CalPERS state pension plan
  • Alternate Work Schedules
  • Telework
  • Health, dental & vision insurance for the employee or the employee's family
  • Investment in careers development
  • 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:
Phoebe Plumley
(916) 210-9363
phoebe.plumley@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

In order to be considered for this position, applicants must submit a Statement of Qualifications (SOQ). The SOQ must be no more than one page 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.

Please answer the following question: 

1. Describe your experiences in the development of your auditing skills. Please include in your explanation, your ability to evaluate and analyze various documents/ applications to ensure compliance with the applicable laws and/or regulations in order to convey information and/or recommendation in writing to management.

NOTE: Resumes, cover letters, and Supplemental Applications do not take the place of the SOQ.

Examination Information

Applicants will need to take and pass the online Financial Institutions Examiner (FIE) exam/assessment to be eligible to apply for vacant FIE positions. 

To obtain list eligibility for the Financial Institutions Examiner classification before applying for the position(s), please visit:https://calcareers.ca.gov/JOBSGEN/0PBBX.PDF.

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
Print Job