SENIOR FINANCIAL INSTITUTIONS EXAMINER

Job Posting: Senior Regulatory Examiner

Department of Financial Protection and Innovation

JC-527602

• Senior Regulatory Examiner

SENIOR FINANCIAL INSTITUTIONS EXAMINER

$8,825.00 - $11,598.00 per Month

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

Final Filing Date: 8/25/2026

Application Methods:

Electronic (Using your CalCareer Account)

By Mail

Drop-off

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Job Description and Duties

The Department of Financial Protection and Innovation is recruiting for one, Permanent, Full-time Senior Financial Institutions Examiner position within the Escrow Examinations Unit of the Escrow and Mortgage Lending Office. This position is to be located in the Los Angeles office. This recruitment may be used to fill subsequent vacancies of the position within the next 180 days.

Under the general direction of a Financial Institutions Manager, the Senior Financial Institutions Examiner plans, coordinates, and assists in the development and maintenance of examination programs under the Escrow Law. The position divides its time in the office and the field to address financial deficiency concerns reported by examiners, control and track various data, handle complaints, perform the most complex regulatory and special examinations, reviews reports and work-papers prepared by less experienced examiners, train new examiners, and respond to incoming inquiries from licensee, CPA, attorney, and DFPI staff. The position requires some travel within California and nationally to perform the most complex examinations and attending training events.

You will find additional information about the job in the Duty Statement.

Working Conditions

This job requires reporting on site, however, telework may be available once established.

Los Angeles Location: The Los Angeles office is located in the heart of the downtown financial district within walking distance to restaurants, transit, multiple parking options.

Effective July 1, 2025, The California Department of Human Resources (CalHR) implemented the Personal Leave Program 2025 (PLP 2025). PLP 2025 directs that each full-time employee shall receive a reduction in pay in exchange for PLP 2025 leave credits, monthly. The salary range(s) included in the job advertisement do not reflect the reduction in pay.

SEIU Bargaining units (1, 3, 4, 11, 14, 15, 17, 20, 21) will receive a 3 percent reduction in pay in exchange for 5 hours of PLP 2025 per month.

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

• SENIOR FINANCIAL INSTITUTIONS EXAMINER

Additional Documents

• Job Application Package Checklist
• Duty Statement

Position Details

Job Code #:

JC-527602

Position #(s):

410-123-4102-316

Working Title:

Senior Regulatory Examiner

Classification:

SENIOR FINANCIAL INSTITUTIONS EXAMINER

$8,825.00 - $11,598.00

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:

Los Angeles County

Telework:

In Office

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: https://dfpi.ca.gov/

Department Website: https://dfpi.ca.gov/

Special Requirements

• The position(s) require(s) a Background Investigation be cleared prior to being hired.

Please do not include any confidential information on any documents you submit for a job vacancy, such as your State application, resume, or educational transcripts. Confidential information that should be excluded or removed from these documents includes, but is not limited to, your Social Security Number (SSN), birthdate, student identification number, driver's license number (unless required), basis of eligibility, examination results, LEAP status, marital status, and age. Confidential information on the first page of applications submitted electronically online, such as Easy ID number, SSN, examination related information, and driver's license number will automatically be redacted upon submission.

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 10, § 250.30 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 Statements of Economic Interests (Form 700) within 30 days of assuming office, annually by April 1st and within 30 days of leaving office.

Unofficial Transcripts: Provide 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. An official transcript will be required prior to appointment. Foreign Degrees must provide Degree Evaluation to verify U.S. equivalency. Foreign education credential evaluation services can be found at:Evaluation of Foreign Degrees

Additional Filing Instructions:

• You are encouraged to apply electronically through your CalCareers account.
• If applying with a hard copy application, please reference "JC-527602 EMLO 27-013" 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.

Possession of Minimum Qualifications (MQ) will be verified prior to interview and/or appointment. If you are meeting MQ's with education, you must include your unofficial transcripts/diploma for verification. Official transcripts may be required upon appointment. If it is determined an applicant does not meet the MQ's, the candidate will be withheld from the eligibility list, rendering them inactive and ineligible to be hired for the position. Candidates who have been withheld may file an appeal with the State Personnel Board.

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: 8/25/2026

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.

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 www.CalCareers.ca.gov. 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

651 Bannon St Suite 300

Sacramento, CA 95811

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

651 Bannon St Suite 300

Sacramento, CA 95811

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 www.CalCareers.ca.gov. 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.
• Statement of Qualifications - A Statement of Qualifications is REQUIRED and must be submitted with your Employment Application (STD. 678). Applications received without an appropriate Statement of Qualifications based on the instructions below will be rejected for being incomplete and will not be considered. Resumes, cover letters, and other documents will not be considered as a response to the Statement of Qualifications. Please refer to the "Statement of Qualifications" section below for specific requirements.

Applicants requiring reasonable accommodations for the hiring interview process must request the necessary accommodations if scheduled for a hiring interview. The request should be made at the time of contact to schedule the interview. Questions regarding reasonable accommodations may be directed to the EEO contact listed on this job posting.

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:

• Excellent written and oral communication skills. Ability to communicate clearly and concisely.
• Knowledge and experience of DFPI examination process and practices.
• Knowledge of general accounting standards, auditing principles and procedures, and business law.
• Ability to think critically and exercise good judgment in all work related activities.
• Being diligent, efficient, and effective in analysis and possessing strong critical thinking skills.
• Ability to take initiative and provide sound recommendations or resolutions.
• Team orientated and fostering positive relationships in a professional manner with integrity and respect.
• Ability to work independently and collaboratively with a team to meet deadlines.
• Adaptability to changes in requirements.

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.

Statement of Qualifications Instructions

In order to be considered for this position, applicants must submit a Statement of Qualifications (SOQ). The SOQ must be no more than two pages 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. Application packages received without a SOQ will not be considered. Important note: Resumes, cover letters, and supplemental applications do not substitute for the SOQ.

Please describe your education, training, experience and skills that qualify you for the position. In addition, describe your knowledge of the California Escrow Law and industry.

Examination & Candidate Resources

Examination: Candidates applying with List Eligibility must successfully pass the examination for this classification.

Please read the Minimum Qualifications section of the Classification Specifications AND the Exam Bulletin carefully to ensure you are currently eligible to take this examination before taking it. Candidates taking the exam prior to being eligible may be disqualified.

Link to Exam Bulletin and Exam:

To obtain list eligibility for the Senior Financial Institutions Examiner before applying for the position(s), you must first take and pass the Senior Financial Institutions Examiner examination.

Candidate Resources/Tools:

• State Application Checklist
• Interview Checklist
• Statement of Qualifications (SOQ) Tips

Once passing the online SFIE exam/assessment, applicants will be eligible to apply for vacant SFIE positions posted on the CalCareers website at: www.calcareers.ca.gov and on the DFPI's website at: www.DFPI.ca.gov/careers.

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.