Job Posting: Financial Institutions Examiner

Department of Financial Protection and Innovation

JC-528635
-
Financial Institutions Examiner
FINANCIAL INSTITUTIONS EXAMINER

$4,928.00 - $9,600.00 per Month
New to State candidates will be hired into the minimum salary of the classification or minimum of alternate range when applicable.

Final Filing Date: 8/28/2026

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one Permanent, Full-time Financial Institutions Examiner (FIE) position in the General Counsel Division, Broker Dealer / Investment Adviser Regulations Office. This position is to be located in the Los Angeles office. This recruitment may be used to fill subsequent vacancies of this position within the next 180 days.

The Financial Institutions Examiner evaluates and analyzes license applications for required qualifications for Broker Dealers and Investment Advisers according to California Corporations Code Section 260.231 and 260.211. The Financial Institutions Examiner ensures that investment advisers, broker-dealers, and their registered representatives are properly registered by verifying that they meet the minimal qualifications requirements related to professional examinations, have properly disclosed all pertinent aspects of their business and fees, and have truthfully and completely disclosed all disciplinary actions related to the securities business.

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

Working Conditions

This job requires reporting on site a minimum of 4 days per week, with the option of one day of telework with an approved agreement.

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 for a fee.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Additional Documents

Position Details

Job Code #:
JC-528635
Position #(s):
410-121-4101-338
Working Title:
Financial Institutions Examiner
Classification:
FINANCIAL INSTITUTIONS EXAMINER
$4,928.00 - $6,556.00 A
$6,359.00 - $7,966.00 B
$7,669.00 - $9,600.00 C
New to State candidates will be hired into the minimum salary of the classification or minimum of alternate range when applicable.
# of Positions:
1
Work Location:
Los Angeles County
Telework:
In Office
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.

Please do not include any confidential information on any documents you submit for a job vacancy, such as your State application, resume, or educational transcripts. Confidential information that should be excluded or removed from these documents includes, but is not limited to, your Social Security Number (SSN), birthdate, student identification number, driver’s license number (unless required), basis of eligibility, examination results, LEAP status, marital status, and age. Confidential information on the first page of applications submitted electronically online, such as Easy ID number, SSN, examination related information, and driver’s license number will automatically be redacted upon submission.

 

Possession of Minimum Qualifications (MQ) will be verified prior to interview and/or appointment. If you are meeting MQ’s with education, you must include your unofficial transcripts/diploma for verification. Official transcripts may be required upon appointment. If it is determined an applicant does not meet the MQ’s, the candidate will be withheld from the eligibility list, rendering them inactive and ineligible to be hired for the position. Candidates who have been withheld may file an appeal with the State Personnel Board.

 

Applicants who completed their education outside of the US (with foreign degrees/transcripts) must obtain and submit verification of U.S. course/degree equivalency. Foreign education credential evaluation services can be found at NACES | National Association of Credential Evaluation Services.


Additional Filing Instructions:


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: 8/28/2026

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: Jeannelle Santos
Human Resources Office
651 Bannon St Suite 300
Sacramento, CA 95811

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
Jeannelle Santos
Human Resources Office
651 Bannon St Suite 300
Sacramento, CA 95811
SE Tower
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 is REQUIRED and must be submitted with your Employment Application (STD. 678). Applications received without an appropriate Statement of Qualifications based on the instructions below will be rejected for being incomplete and will not be considered. Resumes, cover letters, and other documents will not be considered as a response to the Statement of Qualifications. Please refer to the “Statement of Qualifications” section below for specific requirements.

  • Supplemental Application -

    A Supplemental Application is REQUIRED and must be submitted with your Employment Application (STD. 678). Applications received without an appropriate Supplemental Questionnaire based on the instructions below will be rejected for being incomplete and will not be considered. Resumes, cover letters, and other documents will not be considered as a response to the Supplemental Questionnaire. Please refer to the “Supplemental Questionnaire” section below for specific requirements.

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:
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

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.

STATEMENT OF QUALIFICATIONS AND SUPPLEMENTAL QUESTIONNAIRE

STATEMENT OF QUALIFICATIONS (SOQ):
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. Note: Resumes and cover letters do not take the place of the SOQ.

Please respond to the following:

1. Describe how your experience, education, training, and skills make you a competitive candidate for this position. Include concrete examples of your work experience related to this position.

2. Please explain how you ensure that your work is completed on time and within budget.

SUPPLEMENTAL QUESTIONNAIRE: 

1. Do you have knowledge of general accounting and auditing principles and procedures? (Yes/No)

2. Are you able to analyze financial and operating statements, reports, and records to draw sound conclusions? (Yes/No)

3. Are you able to communicate effectively both in written and orally? (Yes/No)

4. Are you able to travel by driving an automobile and stay overnight to conduct examination? (Yes/No)

5. Are you able to work both remotely and in DFPI's office in Los Angeles? (Yes/No)

6. Are you able to conduct audit/examination in the licensee's resident and office? (Yes/No)

Examination & Candidate Resources:

Please read the Minimum Qualifications section of the Classification Specifications AND the Exam Bulletin carefully to ensure you are currently eligible to take this examination before taking it. Candidates taking the exam prior to being eligible may be disqualified.

To obtain list eligibility for the Financial Institutions Examiner before applying for the position(s), you must first take and pass the Financial Institutions Examiner examination.


Candidate Resources/Tools:

    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