How do they match: Financial Examiners

  • Securities Compliance Examiner
  • 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.

  • 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.
  • 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.

  • Coordinate with external parties to exchange information.
  • Verify accuracy of financial information.