Company:
State of California
Location: Sacramento
Closing Date: 01/11/2024
Hours: Full Time
Type: Permanent
Job Requirements / Description
JC-454427
Position #(s):
410-160-4102-XXX
Working Title:
Senior Regulatory Examiner
Classification:
SENIOR FINANCIAL INSTITUTIONS EXAMINER $8,568.00 - $11,260.00
# of Positions:
1
Work Location:
Sacramento County
Telework:
Hybrid
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:
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.
Additional Filing Instructions:
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: 11/8/2024
Who May Apply
Individuals who are currently in the classification, eligible for lateral transfer, eligible for reinstatement, have list or LEAP 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 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
N/A
Attn: Denise Gutierrez
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
N/A
Denise Gutierrez
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:
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:
1. Ability to identify, analyze, evaluate situations and issues related to examinations, and to gather additional information or find solutions to problems with minimal supervision.
2. Experience working on multiple assignments, projects, examinations simultaneously.
3. Self-motivated problem-solver with critical thinking skills and attention to detail.
4. Experience in the development/enhancement of working papers, training manuals and examination procedures.
5. Experience in the training of newly hired and or less experienced examiners and/or other staff.
6. Experience in the performance of group examinations as the lead examiner-in-charge (EIC) and or in participation in multi-state/joint examinations.
7. Flexibility and willingness to adapt to changing workloads and priorities.
8. Excellent organizational skills and proven ability to prioritize work assignments or projects to meet deadlines.
9. Excellent attendance, punctuality, and dependability with a strong work ethic.
10. Knowledge and awareness of the Debt Collection Licensing Act (DCLA) and California Consumer Financial Protection Law (CCFPL) a plus.
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:
Benefit information can be found on the CalHR website and the CalPERS website.
Examination Information
Applicants will need to take and pass the online SFIE exam/assessment to be eligible to apply for vacant SFIE positions. To be admitted into the SFIE exam/assessment, applicants must meet the minimum qualifications of 1. ) One year of experience in California state service performing the duties of a class at a level of responsibility equivalent to that of a Financial Institutions Examiner, Range C or 2. ) Four years of increasingly responsible experience in professional auditing or examination of financial institutions, business firms, or services. (Experience in California state service applied toward this requirement must include two years performing the duties of a class at a level of responsibility equivalent to that of a Financial Institutions Examiner, Range C); And Education: Equivalent to graduation from college with a specialization in accounting, business administration, economics, finance, or a related business/management specialization.
The S FIE exam/assessment can be found on the CalCareers website at
Once passing the online SFIE exam/assessment, applicants will be eligible to apply for vacant SFIE positions posted on the CalCareers website at: and on the DFPI's website at: .
Current or former state civil service employees may have lateral transfer eligibility to apply for vacant SFIE positions and for questions regarding your employment history consult with your department's Human Resources Office.
Statement of Qualifications
"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 address the following four questions:
1. Describe how your background and experience qualify you for the Senior Financial Institutions Examiner (SFIE) position in the Debt Collector program. Please provide concrete examples.
2. Describe your experience performing regulatory examinations where new examination procedures have been applied and how you were able to implement the new procedures during your examination. Provide specific details.
3. Describe how you would learn and apply new regulations to an industry that hasn't been regulated previously.
4. Describe your ability and experience in presenting findings and recommendations concisely, and how you would handle a situation where stakeholders do not agree with your recommendation.
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.
The Department of Financial Protection and Innovation is recruiting for one, Full-time Senior Financial Institutions Examiner position within the Division of Consumer Financial Protection's Debt Collector Examination Unit. This position is to be located in Sacramento. This recruitment may be used to fill subsequent vacancies for this position within the next 180 days.
Under the general direction of the Financial Institutions Manager (FIM), the Senior Financial Institutions Examiner (SFIE) is responsible for licensing/registration and examinations for the Division of Consumer Financial Protection, Debt Collectors Licensing Unit.
You will find additional information about the job in the Duty Statement .
Working Conditions
Sacramento Location:
The Sacramento office will be relocating from our current Arena Blvd. location to the brand new state-of-the-art May Lee State Office Complex in Sacramento's River District by Spring of 2025.
Minimum Requirements You will find the Minimum Requirements in the Class Specification.
- SENIOR FINANCIAL INSTITUTIONS EXAMINER
- Job Application Package Checklist
- Duty Statement
JC-454427
Position #(s):
410-160-4102-XXX
Working Title:
Senior Regulatory Examiner
Classification:
SENIOR FINANCIAL INSTITUTIONS EXAMINER $8,568.00 - $11,260.00
# of Positions:
1
Work Location:
Sacramento County
Telework:
Hybrid
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:
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.
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-454427/CFP 25-081 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.
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: 11/8/2024
Who May Apply
Individuals who are currently in the classification, eligible for lateral transfer, eligible for reinstatement, have list or LEAP 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 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
N/A
Attn: Denise Gutierrez
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
N/A
Denise Gutierrez
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 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.
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:
1. Ability to identify, analyze, evaluate situations and issues related to examinations, and to gather additional information or find solutions to problems with minimal supervision.
2. Experience working on multiple assignments, projects, examinations simultaneously.
3. Self-motivated problem-solver with critical thinking skills and attention to detail.
4. Experience in the development/enhancement of working papers, training manuals and examination procedures.
5. Experience in the training of newly hired and or less experienced examiners and/or other staff.
6. Experience in the performance of group examinations as the lead examiner-in-charge (EIC) and or in participation in multi-state/joint examinations.
7. Flexibility and willingness to adapt to changing workloads and priorities.
8. Excellent organizational skills and proven ability to prioritize work assignments or projects to meet deadlines.
9. Excellent attendance, punctuality, and dependability with a strong work ethic.
10. Knowledge and awareness of the Debt Collection Licensing Act (DCLA) and California Consumer Financial Protection Law (CCFPL) a plus.
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.
Examination Information
Applicants will need to take and pass the online SFIE exam/assessment to be eligible to apply for vacant SFIE positions. To be admitted into the SFIE exam/assessment, applicants must meet the minimum qualifications of 1. ) One year of experience in California state service performing the duties of a class at a level of responsibility equivalent to that of a Financial Institutions Examiner, Range C or 2. ) Four years of increasingly responsible experience in professional auditing or examination of financial institutions, business firms, or services. (Experience in California state service applied toward this requirement must include two years performing the duties of a class at a level of responsibility equivalent to that of a Financial Institutions Examiner, Range C); And Education: Equivalent to graduation from college with a specialization in accounting, business administration, economics, finance, or a related business/management specialization.
The S FIE exam/assessment can be found on the CalCareers website at
Once passing the online SFIE exam/assessment, applicants will be eligible to apply for vacant SFIE positions posted on the CalCareers website at: and on the DFPI's website at: .
Current or former state civil service employees may have lateral transfer eligibility to apply for vacant SFIE positions and for questions regarding your employment history consult with your department's Human Resources Office.
Statement of Qualifications
"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 address the following four questions:
1. Describe how your background and experience qualify you for the Senior Financial Institutions Examiner (SFIE) position in the Debt Collector program. Please provide concrete examples.
2. Describe your experience performing regulatory examinations where new examination procedures have been applied and how you were able to implement the new procedures during your examination. Provide specific details.
3. Describe how you would learn and apply new regulations to an industry that hasn't been regulated previously.
4. Describe your ability and experience in presenting findings and recommendations concisely, and how you would handle a situation where stakeholders do not agree with your recommendation.
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.
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State of California