Job Description

Job Description and Duties

Candidates hired into the Attorney III (Range A) classification at the minimum of the pay range will receive a pay differential added to their base salary. This pay differential brings the monthly gross salary to $11,695, before the 2025 PLP 4.62 percent pay reduction discussed further below.

The Department of Financial Protection and Innovation (DFPI) is recruiting for one permanent, full-time Attorney III position in the Legal Division, Securities Regulation Unit to be located in the  Sacramento, San Francisco, Los Angeles, or San Diego office. This recruitment may be used to fill  subsequent vacancies of these positions within the next 180 days.

The DFPI is a California state agency that protects California consumers, small businesses, and investors, and administers multiple state licensing laws relating to financial services. Industries that the DFPI regulates include digital asset businesses; state-chartered banks, credit unions, and money transmitters; mortgage and student loan servicers; state-licensed lenders; investment advisors; and debt collectors. The DFPI often considers legal and policy issues presented by emerging financial technologies, and develops strategies that protect consumers and investors while encouraging financial innovation that benefits all Californians. Under the Legal Division, the Securities Regulation Unit is responsible for reviewing the offer and sale of securities in California and promoting investor protection while fostering innovation in California's financial marketplace.

The successful candidate will report to the Assistant Chief Counsel of the Securities Regulation Unit in the Legal Division. The primary responsibilities include reviewing and approving complex and sensitive securities applications, conducting public fairness hearings on securities transactions and issuing decisions in fairness hearings; and resolving compliance violations under the securities laws. Additional primary responsibilities include assisting in the promulgation of regulations, assisting with the study of investment risks, researching and drafting opinions, and developing and updating of standards for the review of securities offerings and investor protection. The successful candidate will  contribute to policy development for existing and emerging investment products and services,  monitor emerging markets for digital assets and other novel investment products and services,  recommend principled oversight of market entrants, and advise and assist stakeholders on  securities-related matters. Primary responsibilities also include coordinating with stakeholders;  monitoring changes to corporate laws, securities laws, and capital markets in the state; and  updating management on trends and risks related to investing and capital raising in this state.

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.  All Bargaining Unit 2 classifications will receive a 4.62 percent reduction in pay in exchange for 8 hours of PLP 2025 per month.

You will find additional information about the job in the .

Minimum Requirements

You will find the Minimum Requirements in the Class Specification.

Additional Documents

Special Requirements

• The position(s) require(s) a(n) The State Bar of California License. You will be required to provide a copy of your license 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.

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 at .

Additional Filing Instructions :

• If applying with a hard copy application, please reference “JC-504257/RPA#LEGL 26-084” in the Job Title section of your State application in order to be considered for this vacancy. 
• Emailed and faxed applications will not be accepted.

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 Code. The incumbent is required to submit a Statement of Economic Interests (Form 700) within 30 days of assuming office, annually by April 1st and within 30 days of leaving office.

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: 1/29/2026

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 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 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.

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.

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
• 1 Day 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:

Human Resources Contact:
Denise Gutierrez
(916) 940-5387
denise.gutierrez@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.

Job Tags

Permanent employment, Full time, Work at office, Remote work,

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