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Form of workThe Department of Financial Protection and Innovation is recruiting for one (1) permanent/full-time Financial Institutions Examiner (FIE) position in the Division of Corporations and Financial Institutions, Broker Dealer/Investment Adviser office. Position to be located in the San Francisco office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.
Under the general supervision of a Financial Institutions Manger, the Financial Institutions Examiner (FIE) is responsible for conducting examinations individually or as part of a team, of investment advisers and broker-dealers, in accordance with the Corporate Securities Law of 1968 and the applicable State and Federal laws and regulations.
The position may require extensive travel to licensees and occasional travel to conferences, meetings, and training events. Travel is primarily done by driving, but also includes periodic air travel, periodic overnight travel, and occasional overtime.
You will find additional information about the job in the Duty Statement .
Working Conditions
The incumbent must be willing to exercise flexibility and agility as well as be willing to in office, and telework (remote work) from home as needed. Telework is subject to DFPI's Telework Program Policy.
The San Francisco office is located in the heart of the financial district within walking distance to BART and restaurants.
Minimum Requirements You will find the Minimum Requirements in the Class Specification.
- FINANCIAL INSTITUTIONS EXAMINER
- Job Application Package Checklist
- Duty Statement
Position Details Job Code #:
JC-417318
Position #(s):
410-121-4101-315
Working Title:
Field Examiner
Classification:
FINANCIAL INSTITUTIONS EXAMINER $4,645.00 - $9,049.00
A $4,645.00 - $6,180.00
B $5,994.00 - $7,509.00
C $7,229.00 - $9,049.00
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 $5441.00.
# of Positions:
1
Work Location:
San Francisco 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.
FINGERPRINTING
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 10, 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-417318/RPA# BDIA 24-153" 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.
- Transcripts showing completion of the required education is required.
- Do not provide any personal identifying information on the documents (Social Security Number, Date of Birth, etc.) you submit with your application.
- Do not complete or submit the Equal Employment Opportunity, page 10 of the Std. 678 with your application page. The EEO page is for examination use only.
- Do not provide any LEAP information with your application package.
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: 2/28/2024
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 Slade
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 Slade
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.
- Degree and/or School Transcripts
- Statement of Qualifications -
A Statement of Qualifications (SOQ) is required for this position according to the instructions provided. Application packages received without an SOQ as described may not be considered. Please see the Statement of Qualifications Instructions below for specific instructions regarding your SOQ response. Resumes, cover letters, and/or other documents do not take the place of this requirement.
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 examination findings/recommendations to licensees, Department staff, and upper management
- Ability to create and maintain an effective working relationship with management, staff, licensees and the general public
- Ability to manage multiple examinations, projects, trainings, and changing priorities
- Exceptional interpersonal skills utilizing sound judgment, discretion, tact and a high degree of professionalism
- Ability to secure and analyze extensive information, evidence and facts, and render sound recommendations
- Ability to represent the Department before an Administrative Law Judge for enforcement related hearing purposes
- Willingness to travel to various licensee locations throughout the state, 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.
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 Slade
(916) 495-5735
vanessa.slade@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:
Angelina Endsley
(916) 576-4938
eeo@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 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
Once passing the online FIE exam/assessment, applicants will be eligible to apply for vacant FIE positions posted on the CalCareers website at: www.calcareers.ca.gov and on the DFPI's website at: www.DFPI.ca.gov/careers .
STATEMENT OF QUALIFICATIONS INSTRUCTIONS
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.
Please answer the following questions:
1. Please describe your education/training, experience, and skills that prepared you for a role as a Financial Institutions Examination in the BDIA program.
2. Provide examples of:
a. Instances you solved or helped complete a complex work project.
b. Instances you had a positive impact on team/program morale.
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.
