Senior Regulatory Examiner

Job Code #: JC-527602 | Position #: 410-123-4102-316

About the Department

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 competitive salary, a robust training program, and opportunities for advancement.

About the Role

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, located in the Los Angeles office. This recruitment may be used to fill subsequent vacancies 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 role involves both office and field work to address financial deficiency concerns, handle complaints, perform complex regulatory and special examinations, review reports and work-papers prepared by less experienced examiners, train new examiners, and respond to inquiries from licensees, CPAs, attorneys, and DFPI staff. The position requires travel within California and nationally for complex examinations and training events.

Responsibilities

• Plan, coordinate, and assist in developing and maintaining examination programs under the Escrow Law.
• Address financial deficiency concerns reported by examiners, control and track various data, and handle complaints.
• Perform the most complex regulatory and special examinations of financial institutions.
• Review reports and work-papers prepared by less experienced examiners.
• Train new examiners and provide guidance on examination procedures.
• Respond to incoming inquiries from licensees, CPAs, attorneys, and DFPI staff.
• Travel within California and nationally to conduct examinations and attend training events.

Requirements

• Background investigation clearance prior to hiring.
• Fingerprint submission and clearance by the Department of Justice (required for access to Criminal Offender Record Information).
• Submission of Statements of Economic Interests (Form 700) within 30 days of assuming office, annually by April 1st, and within 30 days of leaving office (due to conflict-of-interest regulations).
• Unofficial college transcripts must be provided with the application; official transcripts will be required prior to appointment. Foreign degrees must include a U.S. equivalency evaluation.
• Maintain privacy and confidentiality of sensitive and confidential documents or topics.

Qualifications

Possession of Minimum Qualifications (MQ) will be verified prior to interview and/or appointment. If meeting MQs with education, unofficial transcripts/diploma must be included for verification. Official transcripts may be required upon appointment.

Pay

$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.

Schedule

Permanent, full-time position.