How do they match: Financial Examiners

  • Compliance Manager
  • Compliance Analyst
  • Compliance Coordinator
  • Compliance Director
  • Compliance Investigator
  • Compliance Officer
  • Compliance Specialist
  • Compliance VP
  • Compliance Vice President
  • Bank Compliance Officer
  • Financial Compliance Examiner
  • 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.

  • 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.
  • Examine the minutes of meetings of directors, stockholders, and committees to investigate the specific authority extended at various levels of management.
  • 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.

  • Advise others on legal or regulatory compliance matters.
  • Train personnel in organizational or compliance procedures.