Senior Regulatory Examiner (Senior 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-477671
Position #(s):
410-150-4102-001
Working Title:
Senior Regulatory Examiner
Classification:
SENIOR FINANCIAL INSTITUTIONS EXAMINER
$8,568.00 - $11,260.00
# of Positions:
1
Work Location:
Los Angeles or San Diego
Telework:
Hybrid
Job Type:
Permanent, Full Time
Job Description and Duties
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 Supervision & Registration of New Covered Persons (NCP) Program. This position is to be located in Los Angeles, and San Diego. 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 the registration and examination of covered persons subject to the California Consumer Financial Protection Law (CCFPL). The incumbent plans, organizes, conducts, and/or assists in examinations of large and/or complex registrants and companies subject to the CCFPL. Conducts interviews with management of companies and collects and reviews data to determine compliance with regulations, rules, and laws administered by the Department. Prepares examination reports and supervisory letters to document examination findings and works with companies to resolve deficiencies. Provides recommendations to the FIM for corrective action or administrative action (suspension, revocation, desist and refrain order, etc.) at conclusion of examination. Reviews registration application files for covered persons under the CCFPL and provides recommendations for final acceptance or rejection. Prepares referral memos documenting the basis for the rejection of registration and assists Enforcement counsel in legal proceedings resulting from registration activities. Processes amendments to registrations, including, but not limited to, surrender requests, address and business name changes, officer and ownership changes, etc. Provides prompt guidance and responses to the public, applicants, and registrants regarding registration status and/or requirements, and supervisory examination matters.
Final Filing Date: 5/27/2025
Examination Information
Applicants will need to take and pass the online Senior Financial Institutional Examiner exam/assessment to be eligible to apply for Senior Financial Institutional Examiner positions. Please visit: https://calcareers.ca.gov/CalHrPublic/Exams/ExamBulletin.aspx?ExamControlId=1607
Minimum Qualifications
Experience: 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
Experience: 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.
Consider a rewarding and challenging career with the DFPI!
DFPI Website: www.dfpi.ca.gov