Connecticut
Overview
The State of Connecticut Department of Banking seeks a Financial Examiner for the Securities and Business Investments Division. The role conducts routine examinations and investigations, independently or as part of a team.
Responsibilities
Conduct or assist in inquiries, investigations, and examinations of entities regulated by the division.
Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities.
Review, analyze, and assess financial and operational documentation, including bank and financial statements, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information and other records.
Research and document apparent violations of applicable laws and policy contraventions.
Interact and communicate with industry and internal stakeholders to review issues and findings.
Write reports and communicate findings to stakeholders in examination and application processing.
Collect and analyze information related to the application review process.
Analyze and assess compliance with federal and state laws and regulations.
Utilize the NEMO multi‑state exam system, NASAA Electronic Filing Depository (EFD), and the e‑license system.
Purpose of the Job Class Accountable for independently performing a full range of tasks in the examination and investigation of financial entities regulated by the Department of Banking.
Knowledge, Skills, & Abilities
Knowledge of organizational operations of financial entities such as banks, credit unions, trust companies, broker‑dealers, investment advisors, mortgage companies and other non‑bank grantors of credit.
Principles and practices of accounting, auditing and finance.
Laws applicable to regulated entities and regulatory and investigative procedures.
Ability to interpret applicable statutes and regulations.
Proficiency in computer software.
Strong oral and written communication and interpersonal skills.
Minimum Qualifications
Six (6) years of experience in the regulation of financial entities or in accounting, auditing, banking, or finance.
Two (2) of those years at the paraprofessional level.
Preferred Qualifications
Experience working in or regulating the banking or financial services industries.
Experience with consumer financial protection laws.
Experience conducting investigations or compliance audits.
Experience writing exam memorandums or investigative reports.
Special Requirements
Incumbents may be required to travel.
Incumbents may be required to possess and retain a valid Motor Vehicle Operator’s license.
Affirmative Action / Equal Opportunity Employer The State of Connecticut is an equal opportunity/affirmative action employer and strongly encourages the applications of women, minorities, and persons with disabilities.
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Responsibilities
Conduct or assist in inquiries, investigations, and examinations of entities regulated by the division.
Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities.
Review, analyze, and assess financial and operational documentation, including bank and financial statements, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information and other records.
Research and document apparent violations of applicable laws and policy contraventions.
Interact and communicate with industry and internal stakeholders to review issues and findings.
Write reports and communicate findings to stakeholders in examination and application processing.
Collect and analyze information related to the application review process.
Analyze and assess compliance with federal and state laws and regulations.
Utilize the NEMO multi‑state exam system, NASAA Electronic Filing Depository (EFD), and the e‑license system.
Purpose of the Job Class Accountable for independently performing a full range of tasks in the examination and investigation of financial entities regulated by the Department of Banking.
Knowledge, Skills, & Abilities
Knowledge of organizational operations of financial entities such as banks, credit unions, trust companies, broker‑dealers, investment advisors, mortgage companies and other non‑bank grantors of credit.
Principles and practices of accounting, auditing and finance.
Laws applicable to regulated entities and regulatory and investigative procedures.
Ability to interpret applicable statutes and regulations.
Proficiency in computer software.
Strong oral and written communication and interpersonal skills.
Minimum Qualifications
Six (6) years of experience in the regulation of financial entities or in accounting, auditing, banking, or finance.
Two (2) of those years at the paraprofessional level.
Preferred Qualifications
Experience working in or regulating the banking or financial services industries.
Experience with consumer financial protection laws.
Experience conducting investigations or compliance audits.
Experience writing exam memorandums or investigative reports.
Special Requirements
Incumbents may be required to travel.
Incumbents may be required to possess and retain a valid Motor Vehicle Operator’s license.
Affirmative Action / Equal Opportunity Employer The State of Connecticut is an equal opportunity/affirmative action employer and strongly encourages the applications of women, minorities, and persons with disabilities.
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