BUSINESS OVERSIGHT, DEPARTMENT OF CAREER EXECUTIVE ASSIGNMENT EXAMINATION ANNOUNCEMENT

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.

DEPARTMENT:	BUSINESS OVERSIGHT, DEPARTMENT OF	RELEASE DATE:	Thursday, December 18, 2014
POSITION TITLE:	Deputy Commissioner, Broker-Dealers and Investment Advisers	FINAL FILING DATE:	Monday, January 5, 2015
CEA LEVEL:	CEA B	EXTENDED FINAL FILING DATE:
SALARY RANGE:	$ 8,766.00 - $10,442.00 / Month	BULLETIN ID:	12162014_1

POSITION DESCRIPTION
Under the direction of the Commissioner, Chief Deputy Commissioner, and the Senior Deputy Commissioner, the Deputy Commissioner plans, organizes directs and reviews the work of the Broker-Dealers and Investment Advisers Regulation Office (BDIA) of the Department of Business Oversight and participates in overall policy development and management of the Department.

Manages the BDIA primary functions of which are the licensing, examination, and regulation of broker-dealers, investment advisers and their agents and representatives pursuant to the Corporate Securities Law of 1968 and the rules there under.

The Deputy Commissioner plans, organizes, directs and reviews the work of the BDIA staff consisting of Supervising Corporation Examiners, Corporation Examiner IVs (Supervisors and Specialists), Corporation Examiners, Auditors, and administrative support. Makes determinations on difficult and unusual technical questions. Directs the review of applications for issuance and denials of licenses; directs the oversight of licensees making a determination regarding the suspension and revocation of licenses and determine enforcement action against a licensee.

Participates as a key member of the Department's executive team. The Deputy Commissioner, BDIA is instrumental in the development, implementation and evaluation of the Department's policies and program direction pertaining to the overall mission. Other activities as an executive team member include establishing legislative and regulatory priorities across all program areas, preparing issue memos, position papers, and GOARS, and providing recommendations regarding pending administrative positions.

Confers with and provides information, guidance, and department position to companies, counsel and other members of the public in relation to problems and questions pertaining to broker-dealers and investment advisers and the interpretation of laws, rules, and policies which govern their licensing and operation in California.

Represents the BDIA, the Senior Deputy Commissioner, the Chief Deputy Commissioner, and Commissioner at various meetings, events, conferences and hearings. Preparing periodical reports to the Commissioner relative to the activities of the BDIA Office. Performs other related duties as required.

This position will be filled in either Los Angeles or Sacramento.

MINIMUM QUALIFICATIONS
Applicants must meet the following minimum qualifications:

Either I
Must be a current State civil service employee with permanent civil service status, as defined in Government Code Section 18546.

Or II
Must be a current or former employee of the Legislature, who resigned or was released from service within the last 12 months, and with two or more consecutive years of service as defined in Government Code Section 18990.

Or III
Must be a current or former nonelected exempt employee of the Executive Branch of government who resigned or was released from service within the last 12 months, and with two or more consecutive years of service (excluding those positions for which the salaries are set by statute) as defined by Government Code Section 18992.

Or IV
Must be a person retired from the United States military, honorably discharged from active military duty with a service-connected disability, or honorably discharged from active duty as defined in Government Code Section 18991.

(1) Knowledge of the organization and functions of California State Government including the organization and practices of the Legislature and the Executive Branch; principles, practices, and trends of public administration, organization, and management; techniques of organizing and motivating groups; program development and evaluation; methods of administrative problem solving; principles and practices of policy formulation and development; and personnel management techniques; the department’s or agency’s Equal Employment Opportunity Program objectives; and a manager’s role in the Equal Employment Opportunity Program.

(2) Ability to plan, organize, and direct the work of multidisciplinary professional and administrative staff; analyze administrative policies, organization, procedures and practices; integrate the activities of a diverse program to attain common goals; gain the confidence and support of top level administrators and advise them on a wide range of administrative matters; develop cooperative working relationships with representatives of all levels of government, the public, and the Legislature and Executive branches; analyze complex problems and recommend effective courses of action; and prepare and review reports; and effectively contribute to the department’s or agency’s Equal Employment Opportunity objectives.

CEA Level A Responsible for broad administrative and program activities, including the execution and/or evaluation of program policies.

CEA Level B Responsible for extensive managerial and program administration or broad program manager experience with substantial participation in the formulation, operation, and/or evaluation of program policies.

CEA Level C Responsible for extensive highly professional influence and contributes to program, policy, and the methods to provide professional services needed to set policies, to meet the mission of the State department and often exercising technical and or professional skills that are required at this level.

2. Demonstrated knowledge of risk identification and mitigation for broker-dealers, investment advisers, and their agents and representatives and experience in examining and seeking enforcement action against broker-dealers, investment advisers, and their agents and representatives.

3. Demonstrated knowledge and experience in developing, implementing, and evaluating Department’s policies and program direction pertaining to the overall mission of the Department.

4. Ability to facilitate continuous improvement through sophisticated performance metrics and project management techniques, and supporting the creation and enhancement of department policies.

5. Demonstrated ability to communicate effectively orally to individuals and groups, including the presentation of findings to licensees, stakeholders, department executives, other governmental agencies, and industry trade associations.

6. Exceptional written communication skills, able to write and edit clearly and present Department positions in a manner easily understood by the department, general public, and licensees alike.

7. Demonstrated ability to work collaboratively with the public, licensees, and within State and Federal legislative and executive branches.

8. Strong leadership skills and experience in change management, policy development, and program administration.

EXAMINATION INFORMATION
A minimum rating of 70% must be attained to obtain list eligibility. Hiring interviews may be conducted with the most qualified candidates. All candidates will receive written notification of their examination results. The result of this examination will be used only to fill the position of Deputy Commissioner, Broker-Dealers and Investment Advisers, with the BUSINESS OVERSIGHT, DEPARTMENT OF. Applications will be retained for twelve months.

The Results of this examination will be used only to fill this position and may be used to fill subsequent vacancies for this position for a period of up to twelve months.

Interviews may be conducted as part of the examination process. (Hiring interviews may be conducted with only the most qualified candidates if it is deemed necessary in order to make a selection.)

FILING INSTRUCTIONS

Interested applicants must submit:

• A completed Standard State Application (Form 678).
• A "Statement of Qualifications". The Statement is a narrative discussion of how the candidate's education, training, experience, and skills meet the minimum and desirable qualifications and qualify them for the position. The Statement of Qualifications serves as a documentation of each candidate's ability to present information clearly and concisely in writing and should be typed and no more than two pages in length. The font size no smaller than 10 pitch.
• Resumes do not take the place of the Statement of Qualifications.
• A resume must be attached to the application.
• The statement should clearly indicate "Statement of Qualifications" at the top of the page.
• Include in your Statement of Qualifications specific examples of your experience that demonstrate each of the desirable qualifications.The examples you provide in the Statement of Qualifications may be the only tool used for determining your final score and rank on the eligible list.
• A copy of DD214 or other official discharge documents if qualifying under Pattern IV.
• Applicants not submitting a Statement of Qualifications will be disqualified from this examination.

Applications must be submitted by the final filing date to:

BUSINESS OVERSIGHT, DEPARTMENT OF, Human Resources Office
1515 K Street, Suite 200, Sacramento, CA 95814
Janette Rivera | 916-327-0837 | janette.rivera@dbo.ca.gov

SPECIAL TESTING
If you have a disability and need special testing arrangements, mark the appropriate box in Part 2 of the "Examination Application." You will be contacted to make specific arrangements.

GENERAL INFORMATION
If you meet the requirements stated in this bulletin, you may take this examination, which is competitive. Possession of the entrance requirements does not assure a place on the eligible list. Your performance in the examination described on this bulletin will be compared with the performance of others who take this test, and all candidates who pass will be ranked according to their scores.

The BUSINESS OVERSIGHT, DEPARTMENT OF reserves the right to revise the examination plan to better meet the needs of the service if the circumstances under which this examination was planned change. Such revision will be in accordance with civil service law and rules and all competitors will be notified.

General Qualifications: Candidates must possess essential personal qualifications including integrity, initiative, dependability, good judgment, and ability to work cooperatively with others.

Class specs:  CEA and Exempt Appointees