Financial Examiners

What They Do

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.

Typical Tasks

• Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants, and consultants to gather information and discuss findings.
• Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
• 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.
• Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
• Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.

Key Skills

Work Activities

• Getting Information
• Evaluating Information to Determine Compliance with Standards
• Analyzing Data or Information
• Communicating with Supervisors, Peers, or Subordinates
• Making Decisions and Solving Problems