Corporation Examiner Series

California State Personnel Board Specification

Series established January 23, 1969

Scope

Classes in this series perform technical and administrative duties to assure compliance with provisions of various laws under the jurisdiction of the Department of Corporations relating to regulation of corporations, personal property brokers, industrial loan companies, credit unions, escrow agents, check sellers, bill payers, proraters, consumer finance companies, and commercial finance companies. Positions in these classes conduct or supervise the examination of books and records of financial institutions and other business firms; perform assignments relating to the administration and enforcement of applicable laws; plan, coordinate, and direct the appropriate examination programs; and do other related work.

Entry into this series is typically through the class of Auditor�I.

Factors Affecting Position Allocation

Complexity and variety of work, independence of action and decision, degree of supervision exercised and received; and, additionally, in those classes above Corporation Examiner, Range�B, program and policy formulation and implementation responsibilities, size of staff supervised, and the number of licenses subject to administration.

Definition of Levels

Corporation Examiner

The incumbent either (1)�independently conducts field audits or makes financial analyses of smaller or less complex financial institutions and business firms, or (2)�assists in larger field audits, or (3)�directs and works with a group of examiners conducting larger field audits, or (4)�independently conducts the more complex examinations or investigations of financial institutions and other business firms, or (5)�evaluates and analyzes securities and license applications for appropriate qualifications, or (6)�conducts evaluations of controls in electronic data processing systems and may devise computer audit software programs.

Corporation Examiner IV (Specialist)

The incumbent either (1)�evaluates and analyzes the most complex financial statements, or (2)�acts as a principal assistant to the statewide coordinator of the administration and enforcement of all matters relating to a more complex law under the jurisdiction of the Department, or (3)�acts as leadperson or examiner-in-charge of the most complex examinations and investigations, or (4)�conducts evaluations of controls in electronic data processing systems and may devise or define computer audit software programs.

Corporation Examiner IV (Supervisor)

The incumbent either (1) supervises a group of examiners engaged in field examinations, or (2)�assists in the organization, planning, and direction of a regional examination program, or (3)�supervises the work of others who conduct evaluations of controls in electronic data processing systems and may devise or define for subordinates computer audit software programs.

Supervising Corporation Examiner

The incumbent either (1)�directs the examination activities of the Northern or Southern California Region of the Department, or (2)�acts as the statewide coordinator of the administration and enforcement of all matters relating to a more complex law under the jurisdiction of the Department.

Minimum Qualifications

Corporation Examiner

Either I

One year of experience in the California state service performing professional accounting or auditing duties of a class at a level of responsibility equivalent to that of Auditor�I. (Applicants meeting the educational requirements who have completed six months of service performing professional accounting or auditing duties of a class at a level of responsibility equivalent to that of Auditor�I will be admitted to the examination, but they must satisfactorily complete one year of this experience before they can be considered eligible for appointment.)

Or II

Experience: Two years of increasingly responsible professional accounting or auditing experience. and

Education: Either

1. Equivalent to graduation from college, with specialization in accounting; or

2. Completion of either:

(a) A prescribed professional accounting curriculum given by a residence or correspondence school of accountancy, including courses in elementary and advanced accounting, auditing, cost accounting and business law; or

(b) The equivalent of 16 semester hours of professional accounting courses given by a collegiate-grade residence institution, including courses in elementary and advanced accounting, auditing, and cost accounting; and three semester hours of business law.

Corporation Examiner IV (Specialist)

Corporation Examiner IV (Supervisor)

Either I

One year of experience in the California state service performing professional accounting or auditing duties of a class at a level of responsibility equivalent to that of Corporation Examiner, Range�B.

Or II

Experience: Four years of increasingly responsible professional accounting or auditing experience including two years supervising a staff of accountants and auditors. (Experience in California state service applied toward this requirement must include one year performing the duties of a class at a level of responsibility equivalent to that of Corporation Examiner, Range�B.) and

Education: Same as above.

Supervising Corporation Examiner

Either I

One year of experience in the California state service performing professional accounting or auditing duties of a class at a level of responsibility equivalent to that of Corporation Examiner�IV (Specialist), or Corporation Examiner�IV (Supervisor); or

Two years of experience in the California state service performing professional accounting or auditing duties of a class at a level of responsibility equivalent to that of Corporation Examiner, Range�B.

Or II

Experience: Five years of increasingly responsible professional accounting or auditing experience, including three years supervising a staff of accountants and auditors. (Experience in California state service applied toward this requirement must include two years performing the duties of a class at a level of responsibility equivalent to that of Corporation Examiner, Range�B.)

Knowledge and Abilities

All Levels:

Knowledge of: General and specialized accounting and auditing principles and procedures; laws, policies, rules and regulations administered by the Department of Corporations; financial organization and practices of organizations subject to regulation by the Department of Corporations; Federal rules and regulations governing the issue and sale of corporate securities; business law.

Ability to: Administer procedures and program activities; gather, organize, summarize and interpret financial data; analyze situations accurately and adopt an effective course of action; prepare reports; establish and maintain cooperative relations with those contacted in the work; speak effectively.

All Levels Above Corporation Examiner, Range�a

Ability to: In addition to the above, devise procedures and program activities; plan, organize and direct the work of others.

All Levels Above Corporation Examiner, Range�b

Knowledge of: In addition to the above, administrative practices and procedures.

Corporation Examiner IV (Supervisor)

Supervising Corporation Examiner

Knowledge of: In addition to the above, principles and techniques of personnel management and supervision; the Department's Affirmative Action Program objectives; a manager's role in the Affirmative Action Program and the processes available to meet affirmative action objectives.

Ability to: In addition to the above, effectively contribute to the Department's affirmative action objectives.

Special Personal Characteristics

All Levels:

Ability to qualify for a fidelity bond.

Corporation Examiner, Range A and Range B

In addition to the above, willingness to travel and work away from the headquarters office.

Additional Desirable Qualifications

All Levels:

In appraising the relative qualifications of candidates, consideration will be given to the extent and type of pertinent education beyond that required under "Minimum Qualifications". Preferred additional education includes college level courses in business administration, public administration, accounting, auditing, business law, and corporate finance.

Class History