How do they match: Financial Examiners

  • Securities Compliance Examiner
  • Securities and Real Estate Director
  • Special Investigation Unit Investigator
  • Special Investigator
  • Compliance Specialist
  • HMDA Specialist
  • Home Mortgage Disclosure Act Specialist

  • 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.

  • Confer with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases.
  • Examine the minutes of meetings of directors, stockholders, and committees to investigate the specific authority extended at various levels of management.
  • Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
  • 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.
  • Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.