Please note:

In response to increases in COVID-19 cases, California Department of Human Resources (CalHR) is implementing COVID-19 testing of all unvaccinated state employees working on site as an additional health and safety standard to protect the state workforce and the public it serves. Any employee seeking exemption from COVID-19 testing or wearing a face covering must provide evidence of vaccination.

Job Posting: Regulatory Examiner

Department of Financial Protection and Innovation

JC-277158
-
Regulatory Examiner
FINANCIAL INSTITUTIONS EXAMINER

$4,190.00 - $8,163.00 per Month

Final Filing Date: 12/3/2021

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for two permanent, full-time Financial Institutions Examiner position in the Financial Services Division. Positions 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 close supervision of the Financial Institutions Manager and/or a lead Financial Institutions Examiner (FIE), the Financial Institutions Examiner performs examinations of entities licensed under the California Financing Law (CFL). The FIE works with a lead FIE during their initial training and typically performs the less difficult examinations to ensure statutory compliance with applicable state and federal laws and regulations.

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.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Position Details

Job Code #:
JC-277158
Position #(s):
410-322-4101-XXX
Working Title:
Regulatory Examiner
Classification:
FINANCIAL INSTITUTIONS EXAMINER
$4,190.00 - $8,163.00
$4,190.00 - $5,576.00 A
$5,408.00 - $6,774.00 B
$6,521.00 - $8,163.00 C

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 $5154.00.

# of Positions:
2
Work Location:
Los Angeles County
Job Type:
Permanent, Full Time

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.  

Special Requirements

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

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 16, section 3830 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 Statement of Economics 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-277158/RPA# 20-FSD0005/0006” 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.

 

We may consider a Training & Development assignment (if applicable).  

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.

 

If education is being used to meet the minimum qualifications, please submit 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. Foreign Degrees must provide Degree Evaluation to verify U.S. equivalency.

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: 12/3/2021

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. 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: Alisha Dillon
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
Alisha Dillon
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 must be submitted along with your application in order to be considered for this position.  Please see the "Statement of Qualifications" section for the 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:
  • Proficiency in Microsoft Excel, Word and Outlook
  • Adaptability to changes like new software, updated procedures, re-scheduling of assignments, new tasks
  • Detail-oriented; ability to compartmentalize audit findings. 

Benefits

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

Statement Of Qualifications

A Statement of Qualification (SOQ) is required for this job positing. A resume and/or cover memo 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 (Financial Institutions Examiner). 

 

Please respond to the following:

 

  1. Please list all college level courses taken on, and/or experiences related to, Auditing and Accounting. Cross-reference those courses and experience with your Transcript and Resume.

 

  1. Provide a detailed example of a time when you analyzed data as part of a school or work project. Please specify which programs, functions, and audit techniques you utilized to conduct your analysis and convey its results.

 

  1. State how you meet the Desirable Qualifications.

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

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