Financial Institutions Examiner-Licensing

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-483330

Position #(s):

410-121-4101-010

Working Title:

Financial Institutions Examiner-Licensing

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

New to State candidates will be hired into the minimum salary of the classification or minimum of alternate range when applicable.

# of Positions:

1

Work Location:

Sacramento

Telework:

Hybrid

Job Type:

12 Month Limited Term - Full Time

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one (1), limited term/full-time Financial Institutions Examiner (FIE) position in the General Counsel Division, Broker Dealer / Investment Adviser Regulations Office. This position is to be located in the Sacramento office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

The Financial Institutions Examiner evaluates and analyzes license applications for required qualifications for Investment Advisers and Broker Dealers according to California Corporations Code Section 260.231 and 260.211. The Financial Institutions Examiner ensures that investment advisers, broker-dealers, and their registered representatives are properly registered by verifying that they meet the minimal qualifications requirements related to professional examinations, have properly disclosed all pertinent aspects of their business and fees, and have truthfully and completely disclosed all disciplinary actions related to the securities business.

This is a Limited Term position that may be extended up to 24 months or may become permanent.

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 $5,604.00.

Final Filing Date: 7/15/2025

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