Job Description

Job Description and Duties

The Department of Financial Protection and Innovation (DFPI) is recruiting for one permanent, full-time Assistant Chief Counsel to lead its Securities Regulation Office in its Legal Division. The ideal candidate should possess an interest in emerging securities, a desire to lead a team, the creativity to imagine improved processes, and the vision and courage to implement change. The DFPI is seeking a talented and motivated attorney to lead the state’s efforts to modernize and advance the administration of the state’s securities law, working on matters related to investor protection, capital markets, and innovation in securities-related matters. This position may be located in the Sacramento, San Francisco, Los Angeles, or San Diego offices. This recruitment may be used to fill subsequent vacancies of these positions within the next 180 days.

Under the general direction of the Deputy Commissioner of the Legal Division and the General Counsel, the Assistant Chief Counsel leads the administration of the state’s securities laws. The Assistant Chief Counsel guides the state in helping to make California’s securities marketplaces available to historically underserved people and to make capital markets available to historically underserved businesses. The Assistant Chief Counsel develops a dynamic culture in the office while supervising, planning, organizing, directing, coordinating, and reviewing the work of attorneys and examiners. The Assistant Chief Counsel serves as a key consultant on state and federal securities matters, initiating, leading, and participating in high level task forces and working closely with other regulatory agencies and collaboratively with stakeholders. 

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.

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 at .

Employment History on the STD 678  must be complete and include dates, accurate hours per week, total time worked, duties and responsibilities, and contact names and phone numbers of supervisors.

Additional Filing Instructions :

• If applying with a hard copy application, please reference “JC-468387/RPA#LEGL 25-141” 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 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.

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: 3/31/2025

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. Individuals who are eligible for a Training and Development assignment may also be considered for this position(s).

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: Ashley Johnson

Human Resources Office

651 Bannon St

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

Ashley Johnson

Human Resources Office

651 Bannon St

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.
• 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.

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:

Human Resources Contact:
Ashley Johnson
(916) 268-8267

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

APPLICATIONS  RECEIVED WITHOUT A STATEMENT OF QUALIFICATIONS (SOQ)  WILL NOT BE CONSIDERED. NOTE :  Resumes, cover letters, and other materials will not be accepted in place of the required SOQ/SQ.

• “In order to be considered for this position, applicants must submit a Statement of Qualifications (SOQ). The SOQ must be no more than two page(s) 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.

Please explain your experience as it relates to the following questions below:
1. Describe your experience with securities laws, management, and stakeholders.

2. Describe your vision for being an effective leader and support your vision with an example of your past leadership.

3. Describe how your experience compliments the goals of protecting investors, providing businesses with access to capital, and providing marginalized groups with access to investing and raising capital.

Job Tags

Permanent employment, Full time, Remote job,

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