COMPLIANCE EXAMINER-REVIEWER

AS620 $60,278 - $118,269
Creation Date: 03/03/2003
Change Date: 04/22/2025

FUNCTION OF WORK:
To review examination reports to ensure adequacy of examinations and monitor the overall financial status of a group of financial service providers or insurance companies.

LEVEL OF WORK:
Program Manager

SUPERVISION RECEIVED:
Generally from a Compliance Examiner Deputy Chief or other higher-level manager or administrator.

SUPERVISION EXERCISED:
Functional over Compliance Examiners 1-4.

JOB DISTINCTIONS:
Differs from the Compliance Examiner 4 by responsibility for programmatic management over a group of institutions.

Differs from the Compliance Examiner Assistant Manager or higher-level staff by the absence of responsibility for management of examination and licensing operations and direct supervisory responsibility.

CORE COMPETENCIES:
CORE COMPETENCIES HAVE NOT BEEN IDENTIFIED BY STATE CIVIL SERVICE FOR THIS JOB TITLE. MORE INFORMATION ON THE SCS COMPETENCY MODEL CAN BE FOUND HERE.

EXAMPLES OF WORK:
EXAMPLES BELOW ARE A BRIEF SAMPLE OF COMMON DUTIES ASSOCIATED WITH THIS JOB TITLE. NOT ALL POSSIBLE TASKS ARE INCLUDED.

Reviews various reports of examination submitted by Compliance Examiners to ensure the following: valid conclusions are drawn regarding the overall condition and the safety and soundness of the institution; standard examination procedures are followed; report schedules are uniformly completed; and state and federal laws are appropriately cited and uniformly enforced.

Consults with Compliance Examiners responsible for examination reports to clarify and obtain additional information; edits and revises reports as necessary.

Drafts transmittal letter to examined institution summarizing the findings of the report.

Recommends and drafts proposed enforcement actions. Coordinates with the FDIC to address areas of concern for problem institutions.

Analyzes and provides recommendations on applications, licenses, renewals, registrations, notifications, and other request.

Reviews, researches, and responds to correspondence and phone calls from executive management of regulated entities, the general public, CPAs, attorneys, other regulatory authorities, and state and federal counterparts regarding interpretation of laws, regulations, and other issues. Meets with these parties as necessary.

QUALIFICATION REQUIREMENTS:
MINIMUM QUALIFICATIONS:
Seven years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; OR

Six years of full-time experience in any field plus nine semester hours in accounting and an additional fifteen semester hours in accounting, economics, finance, business law, insurance, statistics, financial analysis, or money and banking plus four years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; OR

A bachelor's degree with nine semester hours in accounting and an additional fifteen semester hours in accounting, economics, finance, business law, insurance, statistics, financial analysis, or money and banking plus four years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; OR

A bachelor's degree in accounting, auditing, finance, business administration, management, economics, or statistics plus four years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; OR

An advanced degree in accounting, auditing, finance, business or public administration, management, economics, quantitative methods, or statistics plus three years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; OR

A Certified Public Accountant (CPA) license, Certified Financial Examiner (CFE), Certified Fraud Examiner (CFE), or Certified Internal Auditor (CIA) designation plus two years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance.

EXPERIENCE SUBSTITUTION:
Every 30 semester hours earned from an accredited college or university will be credited as one year of experience towards the six years of full-time work experience in any field. The maximum substitution allowed is 120 semester hours which substitutes for a maximum of four years of experience in any field.