Examiner (Financial Institutions Examiner)

About the DFPI

The Department of Financial Protection and Innovation (DFPI) is California’s financial regulator, working to protect consumers by examining and licensing financial activities and taking action against unfair, deceptive, or abusive practices. We oversee state-chartered banks, credit unions, student loan servicers, and more. The DFPI has office locations in Los Angeles, Sacramento, San Diego, and San Francisco. The DFPI offers benefit packages, competitive salary, a robust training program and opportunities for advancement.

Position Details

Job Code #:

JC-457855

Position #(s):

410-121-4101-309

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:

San Francisco

Telework:

Hybrid

Job Type:

Permanent, Full Time

Job Description and Duties

The Department of Financial Protection and Innovation (DFPI) is recruiting for one, Permanent, Full-time Financial Institutions Examiner (FIE) position within the Division of Broker-Dealer/Investment Adviser Unit. This position is 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.

The FIE reports directly to the assigned Financial Institutions Manager and may receive additional instruction from a Senior Financial Institutions Examiner (SFIE) or lead FIE. The FIE conducts field examinations of investment advisers and broker-dealers in compliance with the Corporate Securities Law of 1968.

Final Filing Date: 12/9/2024

Examination Information

Applicants will need to take and pass the online FIE exam/assessment to be eligible to apply for FIE positions. Please visit: https://calcareers.ca.gov/CalHrPublic/Exams/ExamBulletin.aspx?ExamControlId=1606

Minimum Qualifications

Either I

Education: Equivalent to graduation from college with a specialization in accounting, business administration, economics, finance, or a related business/management specialization. (Registration as a senior in a recognized institution will admit applicants to the examination, but they must produce evidence of graduation or the equivalent before they can be considered eligible for appointment.)

Or II

Completion of a prescribed professional accounting curriculum given by a residence or correspondence school of accountancy, including courses in elementary and advanced or intermediate accounting, auditing, cost accounting, and business law.

Or III

Completion of the equivalent of 16 semester hours of professional accounting courses given by a collegiate-grade residence institution, including courses in elementary and advanced or intermediate accounting, auditing, and cost accounting; and three semester hours of business law. (Persons who will complete course work requirements outlined under II and III above during the current quarter or semester will be admitted to the examination, but they must produce evidence of successful completion of the curriculum and the prescribed courses before they may be considered eligible for appointment.)

Consider a rewarding and challenging career with the DFPI!

DFPI Website: www.dfpi.ca.gov