Enforce or ensure compliance with laws and regulations governing financial and securities institutions and financial and real estate transactions. May examine, verify, or authenticate records.
- Bank Secrecy Act Anti-Money Laundering Officer (BSA/AML Officer)
- Community Reinvestment Act Officer (CRA Officer)
- Credit Union Examiner
- Credit Union Field Examiner
- Examining Officer
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- Home Mortgage Disclosure Act Specialist (HMDA Specialist)
- Principal Examiner
- Senior Capital Markets Specialist
- Senior Examiner
- Supervisory Examiner
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- Confer with officials of real estate, securities, or financial institution industries 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 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 to develop recommendations for coordinating existing systems with examination procedures.
- Examine the minutes of meetings of directors, stockholders and committees to investigate the specific authority extended at various levels of management.
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- Confer with officials of real estate, securities, or financial institution industries 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 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 to develop recommendations for coordinating existing systems with examination procedures.
- Examine the minutes of meetings of directors, stockholders and committees to investigate the specific authority extended at various levels of management.
- Investigate activities of institutions 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 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 to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.
- Review audit reports of internal and external auditors 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 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 to check internal control procedures.
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- analyze financial data
- approve or disallow application or license
- conduct financial investigations
- conduct training for personnel
- confer with authorities or community groups
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- 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
No information available.
No information available.
- Chief Bank Examiner
- Compliance Officer
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- Director, Securities and Real Estate
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