COMPLIANCE EXAMINER ASSISTANT MANAGER

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

FUNCTION OF WORK:
To assist Compliance Examiner Manager in the review of examination reports produced by field offices and to examine accounting systems and financial status to ensure financial solvency and fair consumer practices.

LEVEL OF WORK:
Supervisor

SUPERVISION RECEIVED:
Broad from Compliance Examiner Manager or other higher level manager.

SUPERVISION EXERCISED:
Direct over Compliance Examiners 1-4.

JOB DISTINCTIONS:
Differs from the Compliance Examiner Manager or higher-level staff by the absence of responsibility for management of examination and licensing operations.

Differs from Compliance Examiners 1-4 by the presence of direct supervision responsibilities.

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.

Plans, organizes, assigns, and directs the examinations to be conducted within the district.

Coordinates the work assignments of examiners.

Develops and schedules timetables for the completion of examinations.

Plans and implements on-the-job training for Compliance Examiners.

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.