Enforce or ensure compliance with laws and regulations governing financial and securities institutions and financial and real estate transactions. May examine, verify correctness of, or establish authenticity of records.

• Chief Bank Examiner
• Compliance Officer
• Director, Securities and Real Estate

• Confer with officials of real estate, securities, or financial institution industries in order to exchange views and discuss issues or pending cases.
• Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants and consultants in order to gather information and discuss findings.
• Establish guidelines for procedures and policies that comply with new and revised regulations, and direct their implementation.
• Evaluate data processing applications for institutions under examination in order to develop recommendations for coordinating existing systems with examination procedures.
• Examine the minutes of meetings of directors, stockholders and committees in order to investigate the specific authority extended at various levels of management.
• Investigate activities of institutions in order to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
• Plan, supervise, and review work of assigned subordinates.
• Prepare reports, exhibits and other supporting schedules that detail an institution's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions.
• Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
• Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
• Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine their impact.
• Review applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales in order to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.
• Review audit reports of internal and external auditors in order to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.
• Review balance sheets, operating income and expense accounts, and loan documentation in order to confirm institution assets and liabilities.
• Train other examiners in the financial examination process.
• Verify and inspect cash reserves, assigned collateral, and bank-owned securities in order to check internal control procedures.

• analyze financial data
• approve or disallow application or license
• conduct financial investigations
• conduct training for personnel
• confer with authorities or community groups
• confer with management or users
• confer with other departmental heads to coordinate activities
• coordinate employee continuing education programs
• develop policies, procedures, methods, or standards
• direct and coordinate activities of workers or staff
• direct and coordinate financial activities
• direct implementation of new procedures, policies, or programs
• enforce laws, ordinances, or regulations
• examine documents for completeness, accuracy, or conformance to standards
• explain government laws or regulations
• gather relevant financial data
• interpret laws or legislation
• make presentations
• note discrepancies in financial records
• oversee execution of organizational or program policies
• perform general financial analysis
• plan scientific research or investigative studies
• prepare audit reports or recommendations
• prepare correspondence relating to financial discrepancies
• prepare financial reports
• prepare instruction manuals
• recommend action to ensure compliance
• review laws
• use computers to enter, access and retrieve financial data
• use government regulations
• use knowledge of investigation techniques
• use knowledge of relevant laws
• use oral or written communication techniques
• verify investigative information