Securities Analyst Jobs in California (NOW HIRING)

The Department of Financial Protection and Innovation is recruiting for one Permanent, Full-time Analyst I position within the General Counsel Division'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.
Under supervision of the Financial Institutions Manager (FIM), the Analyst I independently performs various analytical business services functions in the following but not limited to: maintains databases, spreadsheets and records; creates and closes exams assignments; assists complaints desk with complaint processing and CA Senate Bill 496 email referrals; processes and assigns financial reports; analyzes reports and provides recommendations to managers; prepares annual MFR deficiency letters and advises licensees as to the resulting reporting requirements; assists in processing regulatory reports, follow-up letters, licensees' responses, and program orders for distribution; analyzes outstanding regulatory reports and researches files and databases to determine if a follow-up letter should be sent to the licensee; monitors BDIA email inbox and updates financial logs for assigned financial reports filed by investment advisers; delivers to and picks up materials from BDIA employees; organizes training seminars and staff meetings for staff or licensees; conducts preliminary reviews on Annual Examination Questionnaires (AEQ) submitted by the licensees; processes requests for information under the Public Records Act including database searches, report downloading and transmittal of applicable reports.
You will find additional information about the job in the Duty Statement .
Working Conditions
This job requires reporting on site a minimum of 4 days per week, with the option of one day of telework with an approved agreement.
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.
Minimum Requirements You will find the Minimum Requirements in the Class Specification.

• ANALYST I

Additional Documents

• Job Application Package Checklist
• Duty Statement

Position Details Job Code #:
JC-528588
Position #(s):
410-121-5157-XXX
Working Title:
Exam Analyst
Classification:
ANALYST I $3,861.00 - $4,839.00 A
$4,181.00 - $5,233.00 B
$5,014.00 - $6,276.00 C
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/
Special Requirements
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.
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.
Applicants who completed their education outside of the US (with foreign degrees/transcripts) must obtain and submit verification of U.S. course/degree equivalency. Foreign education credential evaluation services can be found at NACES | National Association of Credential Evaluation Services .
Additional Filing Instructions :

• You are encouraged to apply electronically through your CalCareers account.
• If applying with a hard copy application, please reference "JC-528588/RPA# BDIA 27-026" 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.

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.
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: 8/28/2026
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: Jeannelle Santos
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
Jeannelle Santos
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:
Good analytical skills, experience with excel, dependable, excellent customer service, able to facilitate projects.
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.
Contact Information
The Human Resources Contact is available to answer questions regarding the position or application process.
Department Website: https://dfpi.ca.gov/
Human Resources Contact:
Jeannelle Baltazar Santos
(279) 236-5199
jeannelle.santos@dfpi.ca.gov
Please direct requests for Reasonable Accommodations to the interview scheduler at the time the interview is being scheduled. You may direct any additional questions regarding Reasonable Accommodations or Equal Employment Opportunity for this position(s) to the Department's EEO Office.
EEO Contact:
Angelina Endsley
(916) 576-4938
eeo@dfpi.ca.gov
California Relay Service: 1-800-735-2929 (TTY), 1-800-735-2922 (Voice) TTY is a Telecommunications Device for the Deaf, and is reachable only from phones equipped with a TTY Device.
Statement of Qualifications
In order to be considered for this position, applicants must submit a Statement of Qualifications (SOQ). The SOQ must be no more than one page 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 may not be considered. Resumes, cover letters, and Supplemental Applications do not take the place of the SOQ.
Please describe your knowledge and experience with database analysis/management, and how your background qualifies you for this Exam Analyst (Analyst I) position. Please include in your explanation, your ability to evaluate and compare different reports in order to convey information and/or recommendation in writing to management.
Exam Bulletin
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.
To obtain list eligibility for the Analyst I before applying for the position(s), you must first take and pass the Analyst I examination.
Candidate Resources/Tools:

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

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.