How do they match: Financial Examiners

  • Compliance Manager
  • Escrow Assistant
  • Securities and Real Estate Director

  • 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.

  • Establish guidelines for procedures and policies that comply with new and revised regulations and direct their implementation.
  • 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.
  • Examine the minutes of meetings of directors, stockholders, and committees to investigate the specific authority extended at various levels of management.
  • 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.

  • Establish organizational guidelines or policies.