Occupation Profile for Financial Examiners

opportunity | video

Enforce or ensure compliance with laws and regulations governing financial and securities institutions and financial and real estate transactions. May examine, verify correctness of, or establish authenticity of records.

 

Tasks

  • Core — Review and analyze new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.
  • Core — Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
  • Core — Plan, supervise, and review work of assigned subordinates.
  • Core — Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
  • Core — Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities.

Activities

  • 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.
  • Organizing, Planning, and Prioritizing Work — Developing specific goals and plans to prioritize, organize, and accomplish your work.
  • Analyzing Data or Information — Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.
  • Establishing and Maintaining Interpersonal Relationships — Developing constructive and cooperative working relationships with others, and maintaining them over time.