Job Posting: Financial Institutions Examiner

Department of Financial Protection and Innovation

JC-451192
-
Financial Institutions Examiner
FINANCIAL INSTITUTIONS EXAMINER

$4,784.00 - $9,320.00 per Month

Final Filing Date: 10/9/2024

Job Description and Duties

**This is a 12 month Limited-Term position that may be extended to 24 months with the possibility of becoming permanent.**


The Department of Financial Protection and Innovation is recruiting for one (1), limited term/full-time Financial Institutions Examiner (FIE) position in the Division of Corporations and Financial Institutions, Broker-Dealer Investment Adviser unit. This position is to be located in the Sacramento office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

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

Working Conditions

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.

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.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Additional Documents

Position Details

Job Code #:
JC-451192
Position #(s):
410-121-4101-010
Working Title:
Financial Institutions Examiner
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:
1
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

To have your application considered for this job opportunity:

  • List the Job Code (JC) and Position Number for this position in the “EXAMINATION(S) OR JOB TITLE(S) FOR WHICH YOU ARE APPLYING” section on the State Application, STD. 678.
  • List your most current employment history first in the “EMPLOYMENT HISTORY” section on the STD. 678.
  • Provide the “From” and “To” dates with the month, day and year, the “Hours Per Week” that you worked and the Total Worked (Years/Months). You may include overtime hours.
  • You must complete the “DUTIES PERFORMED” on the State Application (do not note “see attached resume” in this section). Failure to comply and your application is considered incomplete.
  • SROA and Surplus are encouraged to apply and must submit a copy of their letter.
  • Please note consideration shall be given to work experience gained in a part-time or full-time job, regardless of whether the job was a paid or a volunteer position or was within, or outside of, state service.

 

If using education to qualify please submit a copy of your transcripts. If selected, official transcripts will be required. Foreign education must obtain and submit verification of United States course/degree equivalency.

NOTE: Incomplete applications received may not be considered. Resumes are welcomed but do not take the place of the completed State Application STD 678. Applications received via fax or email will NOT be accepted. If you would like confirmation of receipt, please send certified mail.

**A candidate pool may be established for subsequent vacancies.**

**All hires may be subject to a criminal background check.**

**We encourage applicants to apply electronically.**

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: 10/9/2024

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: Human Resources - LC
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
Human Resources - LC
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.
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.

Examination Information

To obtain list eligibility please click on the link below 

Financial Institutions Examiner - EX-1606

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.