Financial Institutions Manager

4 days ago


Los Angeles, California, United States Department of Financial Protection and Innovation Full time
Job Title: Financial Institutions Manager

The Department of Financial Protection and Innovation is seeking a highly skilled Financial Institutions Manager to join our team. As a key member of our Division of Broker-Dealer Investment Adviser Unit, you will be responsible for supervising and regulating assigned licensees and program initiatives.

Key Responsibilities:
  • Supervise and regulate assigned licensees and program initiatives
  • Provide expert guidance on licensing, examination, consumer complaints, and regulation of broker-dealers, investment advisers, and their agents and representatives
  • Develop and implement plans to achieve regulatory objectives
  • Collaborate with other departments to ensure effective regulation and supervision
Requirements:
  • Bachelor's degree in a relevant field
  • Minimum 5 years of experience in financial regulation or supervision
  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills
Working Conditions:

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

Special Requirements:
  • Background Investigation clearance prior to being hired
  • Pass a Background Investigation prior to being hired


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