How do they match: Financial Examiners

  • Regulatory Analyst
  • Compliance Manager
  • 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.

  • Plan, supervise, and review work of assigned subordinates.
  • 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.
  • 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.
  • Provide regulatory compliance training to employees.
  • Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
  • 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.

  • Advise others on legal or regulatory compliance matters.
  • Evaluate applicable laws and regulations to determine impact on organizational activities.