Regulatory 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-447532
Position #(s):
410-150-4101-XXX
Working Title:
Regulatory Examiner
Classification:
FINANCIAL INSTITUTIONS EXAMINER
$4,784.00 - $9,320.00
# of Positions:
2
Work Location:
Los Angeles, Sacramento, San Diego, or San Francisco
Telework:
Hybrid
Job Type:
Permanent, Full Time
Job Description And Duties
Under the general direction of the Financial Institutions Manager (FIM), the Financial Institutions Examiner (FIE) 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 small and/or non-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 non-complex 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: 9/11/2024
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