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.
  • 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.
  • 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.
  • Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.

  • Evaluate applicable laws and regulations to determine impact on organizational activities.