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: Examinations Manager

Department of Financial Protection and Innovation

JC-278556
-
Examinations Manager
FINANCIAL INSTITUTIONS MANAGER

$9,117.00 - $10,871.00 per Month

Final Filing Date: 12/9/2021

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one permanent, full-time, Financial Institutions Manager position in the Broker Dealer/Investment Adviser office located in Sacramento, San Francisco, or Los Angeles. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

Under the general direction of the Deputy Commissioner of the Broker Dealer and Investment Adviser Division, the Financial Institutions Manager (Examination Manager), directs the examination activities of staff through the supervision of Corporation Examiner IV, Supervisors (Supervisors), Senior Financial Institutions Examiners (SFIEs) and Financial Institutions Examiners (FIEs).

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

Working Conditions

Sacramento Location:

The Sacramento office is located in north Natomas. The Natomas office offers FREE PARKING, is easily accessible from INTERSTATES 5 and 80, and is also close to various dining and shopping choices in the Natomas area.

San Francisco Location:  

The San Francisco office is located in the heart of the financial district within walking distance to BART and restaurants.

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.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Position Details

Job Code #:
JC-278556
Position #(s):
410-121-4104-XXX
Working Title:
Examinations Manager
Classification:
FINANCIAL INSTITUTIONS MANAGER
$9,117.00 - $10,871.00
# of Positions:
1
Work Location:
United States
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.

Department Website: https://dfpi.ca.gov/

Special Requirements

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.

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.

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.


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: 12/9/2021

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: Vanessa Bautista
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
Vanessa Bautista
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.
  • Statement of Qualifications -

    A Statement of Qualifications (SOQ) is required for this job vacancy.  See the ADDITIONAL INFORMATION section below for instructions regarding your SOQ response.  Resumes, cover letters, or other documents do not take the place of the SOQ.

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:
  • Knowledge and understanding of the California Corporations Code and Securities Law of 1968 as it pertains to Broker Dealers and Investment Advisers
  • Knowledge and experience of regulatory examinations and seeking enforcement action against Broker Dealers and Investment Advisers
  • Knowledge and experience in hiring, onboarding and training examination staff
  • Ability to facilitate continuous improvement through sophisticated performance metrics and project management techniques
  • Ability to effectively communicate to individuals and groups, including presentations to licensees, stakeholders, department executives, other regulatory agencies and industry associations
  • Exceptional written communication skills, able to write and edit clearly and present Department positions  in a manner easily understood by the Department, public and licensees
  • Strong leadership skills and experience in change management and program administration

 

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.



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:
Vanessa Bautista
(916) 576-7410
vanessa.bautista@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.

STATEMENT OF QUALIFICATION INSTRUCTIONS

The SOQ shall be a separate typed document no more than one (1) page in length and in 12-point Arial font. The SOQ must be titled “Statement of Qualifications," must include your first and last name, and must address the topic below. Cover letters, resumes, or other documents do not take the place of this SOQ requirement. Applicants who do not follow these instructions may be disqualified from this recruitment.  

  1. Choose the office location that you are applying for, you may choose more than one location. Please rank them by numbering 1 to 3 in order of preference (1 being your first choice).

_____Los Angeles

_____Sacramento

_____San Francisco

  1. Describe your experience in leading an examination/audit team, contributing to the development of others, and the skills and knowledge that qualify you for this position.

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