Financial Institutions Examiner

About the DFPI

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.

Position Details

Job Code #:

JC-474204

Position #(s):

410-121-4101-344

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:

Los Angeles 

Telework:

Hybrid

Job Type:

Permanent, Full Time

Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one, Permanent, Full-time Financial Institutions Examiner position within the Division of Consumer Financial Protection's Broker-Dealer / Investment Adviser Unit. This position is to be located in the Los Angeles office. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

The Financial Institutions Examiner (FIE) conducts field and remote examinations of investment advisers and broker-dealers and performs technical and administrative duties to ensure compliance with provisions of the Corporate Securities Law of 1968 (“Law”) and the rules thereunder and assists in developing procedures and program activities for the unit.

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: 4/25/2025

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