Financial Examiners

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Also known as:  Bank Compliance Officer, Bank Examiner, Financial Compliance Examiner, Home Mortgage Disclosure Act Specialist, Payroll Examiner, Pension Examiner
SNAPSHOT Expand
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.
Leadership
HIGH
Critical decision making
HIGH
Level of responsibilities
HIGH
Job challenge and pressure to meet deadlines
HIGH
Dealing and handling conflict
LOW
Competition for this position
LOW
Communication with others
HIGH
Work closely with team members, clients etc.
HIGH
Comfort of the work setting
HIGH
Exposure to extreme environmental conditions
LOW
Exposure to job hazards
LOW
Physical demands
LOW
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DAILY TASKS Expand
Review audit reports of internal and external auditors to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.
Plan, supervise, and review work of assigned subordinates.
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.
Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities.
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.
Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
MAIN ACTIVITIES Expand
Evaluating Information to Determine Compliance with Standards Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
Getting Information Observing, receiving, and otherwise obtaining information from all relevant sources.
Interacting With Computers Using computers and computer systems (including hardware and software) to program, write software, set up functions, enter data, or process information.
Analyzing Data or Information Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.
Organizing, Planning, and Prioritizing Work Developing specific goals and plans to prioritize, organize, and accomplish your work.
Training and Teaching Others Identifying the educational needs of others, developing formal educational or training programs or classes, and teaching or instructing others.
Guiding, Directing, and Motivating Subordinates Providing guidance and direction to subordinates, including setting performance standards and monitoring performance.
Processing Information Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.
AREAS OF KNOWLEDGE Expand
English Language Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.
Economics and Accounting Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
Law and Government Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
Mathematics Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
Administration and Management Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
Clerical Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
Computers and Electronics Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
Education and Training Knowledge of principles and methods for curriculum and training design, teaching and instruction for individuals and groups, and the measurement of training effects.
KEY ABILITIES Expand
Deductive Reasoning The ability to apply general rules to specific problems to produce answers that make sense.
Problem Sensitivity The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.
Written Comprehension The ability to read and understand information and ideas presented in writing.
Inductive Reasoning The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Speech Recognition The ability to identify and understand the speech of another person.
Oral Expression The ability to communicate information and ideas in speaking so others will understand.
Information Ordering The ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules (e.g., patterns of numbers, letters, words, pictures, mathematical operations).
Oral Comprehension The ability to listen to and understand information and ideas presented through spoken words and sentences.
TOP SKILLS Expand
Critical Thinking Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Reading Comprehension Understanding written sentences and paragraphs in work related documents.
Speaking Talking to others to convey information effectively.
Active Learning Understanding the implications of new information for both current and future problem-solving and decision-making.
Writing Communicating effectively in writing as appropriate for the needs of the audience.
Time Management Managing one's own time and the time of others.
Instructing Teaching others how to do something.
Judgment and Decision Making Considering the relative costs and benefits of potential actions to choose the most appropriate one.
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