How do they match: Financial Examiners

  • Securities and Real Estate Director
  • Securities Compliance Examiner

  • 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.
  • Evaluate data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures.
  • 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.
  • Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.