COMPLIANCE EXAMINER CHIEF

AS625 $84,552 - $165,901
Creation Date: 07/01/2008
Change Date: 02/02/2026

FUNCTION OF WORK:
To direct statewide regulatory operations to protect the public interest and enhance confidence in the insurance or financial services industries.

LEVEL OF WORK:
Administrator

SUPERVISION RECEIVED:
Administrative from the Deputy Commissioner or other administrator.

SUPERVISION EXERCISED:
Direct over Compliance Examiners Deputy Chiefs and Compliance Examiner Managers.

JOB DISTINCTIONS:
Differs from the Deputy Commissioner by directing only one division of an agency.

Differs from the Compliance Examiner Deputy Chief by responsibility for an entire division.

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.

Directs the development and implementation of policies, procedures, and examination guidelines.

Drafts and directs the drafting of legislation; may testify before legislative committees.

Analyzes and interprets rules, regulations, and laws for applicability to examination procedures.

Meets with presidents and executive management of regulated entities to present and discuss ideas for proposed legislation.

Oversees the compilation of budget projections for depository division and ensures that fees assessed are sufficient to cover projected expenditures.

Confers and corresponds with institutions' chief executives and boards of directors, attorneys, and the public, to answer questions, resolve problems, and offer guidance with respect to state laws and regulations.

Confers and corresponds with federal counterparts to discuss regulatory issues and plan long term examination strategies.

QUALIFICATION REQUIREMENTS:
MINIMUM QUALIFICATIONS:
Three years of the required experience for the following minimum qualifications must have been at the supervisory level or above:

Eight 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 five 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 five 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 five 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 four 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 three 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.