Job Posting: Examination Specialist

Department of Financial Protection and Innovation

JC-245414
-
Examination Specialist
SENIOR FINANCIAL INSTITUTIONS EXAMINER

$7,176.00 - $9,432.00 per Month

Final Filing Date: 4/13/2021

Job Description and Duties

Effective July 1, 2020, in response to the economic crisis caused by the COVID-19 pandemic, the Department of Human Resources implemented the Personal Leave Program 2020 (PLP 2020). State employees are subject to a 9.23% salary reduction in exchange for 16 hours per month of PLP 2020 leave credits. The salary information listed under “Position Details” does not reflect the reduction in pay.

The Department of Financial Protection and Innovation is recruiting for one permanent, full-time SENIOR FINANCIAL INSTITUTIONS EXAMINER position in the Division of Corporations' Financial Services Office, California Financing Law Regulatory unit. Position to be located in the Los Angeles office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

Under the general direction of Financial Institutions Manager, the Senior Financial Institutions Examiner plans, coordinates, and assists in the development and maintenance of examination programs under the California Financing Law (CFL). The position requires extensive travel within and outside of California to perform examinations as well as office duties.

Independently plans, organizes, assigns and conducts the most complex regulatory examinations of companies licensed by the Department, including those that have significant regulatory compliance issues. Follows the Department’s Audit Program and apply Accounting Principles and Auditing Standards and develop additional audit procedures when needed. Obtains records and performs analysis of financial information and financial statements to determine compliance with appropriate laws. Conducts interviews with licensee’s management and collects and examines data to determine compliance with the regulations, rules and laws administered by the Department. Works with the licensee to resolve deficiencies, investigates consumer complaints and compliance issues. Performs office duties including being the point of contact for examiners, licensees and the public.

Functions as an examiner-in-charge over a group of examiners conducting examinations of larger licensees and more complex examinations. Provides training and assigns work to new and less experienced examiners. Reviews reports and work-papers prepared by less experienced examiners. Coordinates project schedules.

Prepares examination reports to document the examination findings and support the basis for audit conclusions. Makes recommendations and written and oral presentations to management during and at the conclusion of the examination. Discusses deficiencies, recommends corrective action and suggests improvements to internal controls or operations with management of licensee and prepares the Regulatory Examination Report provided to the licensee. Prepares and reviews memoranda documenting exam findings and testifies in administrative hearings regarding violations identified during examinations.





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

Working Conditions

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

The duties of this position require the incumbent to conduct examinations of licensees and/or affiliates or conduct examinations of the largest and most complex operations of a licensee, all of which requires the ability to travel.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Position Details

Job Code #:
JC-245414
Position #(s):
410-322-4102-XXX
Working Title:
Examination Specialist
Classification:
SENIOR FINANCIAL INSTITUTIONS EXAMINER
$7,176.00 - $9,432.00
# of Positions:
1
Work Location:
Los Angeles County
Job Type:
Permanent, Full Time
Work Shift:
8:00 a.m. to 5:00 p.m.
Work Week:
Monday - Friday

Department Information

The Department of Financial Protection and Innovation (DFPI) (formerly Department of Business Oversight) 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

A Statement of Qualification (SOQ) is required for this job positing. A resume and/or cover memos do not take the place of the SOQ. Failure to submit the required document will disqualify you from moving forward to the interview.

The SOQ must be no more than two (2) typewritten pages using Arial 12-pt font, 1” margins and include your first and last name in the upper left-hand corner and the position you are applying for (SFIE - Examination Specialist).

Please respond to each of the following:

1. Describe your experience performing regulatory examinations where new/enhanced examination procedures have been applied. Provide specific details of the old procedures and contrast the new examination process.

2. Describe how your technical knowledge and expertise resulted in the successful completion of the regulatory examination and how your background qualifies you for the SFIE – Examination Specialist position.

3. Describe how you meet all of the desirable qualifications:
a. Experience working on multiple assignments, projects, examinations,
b. Experience in the development of examination procedures and training presentations related to examinations,
c. Experience in the development/enhancement of working papers, and training manuals,
d. Experience in the performance of training to newly hired examiners or training of new examination procedures to peer examiners,
e. Experience in the performance of group examinations as the lead Examiner-in-Charge (EIC) and or participation in multi-state/joint examinations,
f. Experience in the communication orally and in writing of CFL technical knowledge inside and outside of the Department,
g. Experience in the performance of CFL residential examinations, PACE examinations, and or other highly complex CFL examinations.



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: 4/13/2021

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.

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: Julie Nickles
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
Julie Nickles
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.
  • Statement of Qualifications - A Statement of Qualifications must be submitted along with your application in order to be considered for this position. Please see the "Special Requirements" section for the Statement of Qualifications instructions.
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:
a. Experience working on multiple assignments, projects, examinations,
b. Experience in the development of examination procedures and training presentations related to examinations,
c. Experience in the development/enhancement of working papers, and training manuals,
d. Experience in the performance of training to newly hired examiners or training of new examination procedures to peer examiners,
e. Experience in the performance of group examinations as the lead Examiner-in-Charge (EIC) and or participation in multi-state/joint examinations,
f. Experience in the communication orally and in writing of CFL technical knowledge inside and outside of the Department,
g. Experience in the performance of CFL residential examinations, PACE examinations, and or other highly complex CFL examinations.

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

General State Employment Benefits and Protections

Click here to view more information about the outstanding benefits offered to State employees.

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:
Julie Nickles
(530) 320-0885
julie.nickles@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:
Kevin Morrison
(916) 576-4938
kevin.morrison@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.

ADDITIONAL FILING INSTRUCTIONS





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