Financial Examiners
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.
35 alternate job titles:
AML Director (Anti-Money Laundering Director)
Anti Money Laundering Investigator (AML Investigator)
Bank Compliance Officer
Bank Examiner
Bank Secrecy Act Anti-Money Laundering Officer (BSA/AML Officer)
BSA Analyst (Business Systems Analyst)
BSA Officer (Bank Secrecy Act Officer)
BSA Specialist (Bank Secrecy Act Specialist)
Commercial Escrow Officer
Community Reinvestment Act Officer (CRA Officer)
Compliance Analyst
Compliance Coordinator
Compliance Investigator
Compliance Specialist
Compliance Tester
Credit Union Examiner
Credit Union Field Examiner
Escrow Closer
Examiner
Examining Officer
Financial Compliance Examiner
Financial Crimes Investigator
Financial Examiner
Financial Institution Examiner
Financial Investigator
Home Mortgage Disclosure Act Specialist (HMDA Specialist)
Internal Auditor
KYC Analyst (Know Your Customer Analyst)
National Bank Examiner
Payroll Examiner
Pension Examiner
Personal Banking Manager
Securities Compliance Examiner
Title Escrow Officer
Treasury Analyst
Salary Information
Financial Examiners: $90,400 (median) per year.
Starting salary (10th percentile).
Required expreience: Varies by Company
Data source: U.S. Bureau of Labor Statistics
Daily Tasks & Responsibilities
| Task Description | Category |
|---|---|
| Examine financial records or processes. | General |
| Advise others on legal or regulatory compliance matters. | General |
| Prepare operational reports. | General |
| Train personnel to enhance job skills. | General |
| Establish organizational guidelines or policies. | General |
| Confer with others about financial matters. | General |
| Verify accuracy of financial information. | General |
| Examine financial records. | General |
| Implement financial decisions. | General |
| Train personnel in organizational or compliance procedures. | General |
| Evaluate applicable laws and regulations to determine impact on organizational activities. | Analysis |
| Supervise employees. | Management |
| Coordinate with external parties to exchange information. | Management |
| Monitor organizational processes. | Maintenance |
| Monitor financial indicators. | Maintenance |
| Review license or permit applications. | Maintenance |
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Technology Requirements
| Technology | Description |
|---|---|
| Microsoft Excel | Spreadsheet software |
| Microsoft Office software | Office suite software |
| Microsoft Outlook | Electronic mail software |
| Microsoft PowerPoint | Presentation software |
| Microsoft Word | Word processing software |
| Microsoft Project | Project management software |
| Microsoft SharePoint | Document management software |
| Microsoft Visio | Process mapping and design software |
| Microsoft Windows | Operating system software |
| SAP software | Enterprise resource planning ERP software |
| ACL Analytics | Financial analysis software |
| Auditing software | Financial analysis software |
| Financial compliance software | Compliance software |
| Financial transaction analysis software | Financial analysis software |
| General Examination System GENESYS | Financial analysis software |
| Investigation management software | Project management software |
| LexisNexis | Information retrieval or search software |
| NILS INSource | Compliance software |
| ODEN Insurance Services State Rules & Regulations | Compliance software |
| Oversight Insights On Demand | Compliance software |
| Presentation software | Presentation software |
| PricewaterhouseCoopers TeamMate | Financial analysis software |
| Spreadsheet software | Spreadsheet software |
| System for Electronic Rate and Form Filing SERFF | Compliance software |
| Thomson Reuters Westlaw Edge | Information retrieval or search software |
| Web browser software | Internet browser software |
| Word processing software | Word processing software |
| Microsoft Access | Data base user interface and query software |
| Structured query language SQL | Data base user interface and query software |
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Relevant Certifications
Industry certifications that may be valuable for this career role:
| Certification | Issuing Organization | Practice Test |
|---|---|---|
| Accredited Financial Analyst | American Academy of Financial Management | Not Available |
| Accredited Financial Examiner - Financial Analyst | Society of Financial Examiners | Not Available |
| Accredited In Business Appraisal Review | National Association of Certified Valuators and Analysts | Not Available |
| Accredited Insurance Examiner | Insurance Regulatory Examiners Society | Not Available |
| Associate Insurance Data Manager | Insurance Data Management Association | Not Available |
| Associate Professional Risk Manager | Professional Risk Managers International Association | Not Available |
| Associate in Premium Auditing | The Institutes | Not Available |
| Associate in Regulation and Compliance | The Institutes | Not Available |
| Associate, Life Management Institute | LOMA | Not Available |
| Automated Examination Specialists | Society of Financial Examiners | Not Available |
| CUNA Credit Union HR Compliance Professional | Credit Union National Association | Not Available |
| Certification in Risk Management Assurance | Institute of Internal Auditors | Not Available |
| Certified Anti-Money Laundering Consultant | American Academy of Financial Management | Not Available |
| Certified Anti-Money Laundering Specialist | Association of Certified Anti-Money Laundering Specialists | Not Available |
| Certified Application Specialist I | Conference of State Bank Supervisors | Not Available |
| Certified Application Specialist II | Conference of State Bank Supervisors | Not Available |
| Certified Application Specialist III | Conference of State Bank Supervisors | Not Available |
| Certified Capital Markets Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Consumer Protection Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Credit Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Cyber Security Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Estate and Trust Specialist | Institute of Business & Finance | Not Available |
| Certified Examinations Manager | Conference of State Bank Supervisors | Not Available |
| Certified Examiner-In-Charge | Conference of State Bank Supervisors | Not Available |
| Certified Financial Examiner | Society of Financial Examiners | Not Available |
| Certified Financial Examiner - Financial Analyst | Society of Financial Examiners | Not Available |
| Certified Financial Technician | The International Federation of Technical Analysts Inc. | Not Available |
| Certified Fraud Examiner | Association of Certified Fraud Examiners | Not Available |
| Certified Information Systems Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Insurance Data Manager | Insurance Data Management Association | Not Available |
| Certified Insurance Examiner | Insurance Regulatory Examiners Society | Not Available |
| Certified Investment Management Analyst | Investment and Wealth Institute | Not Available |
| Certified Large Institution Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Management Accountant | The Association of Accountants and Financial Professionals in Business | Not Available |
| Certified Money Service Business Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Mortgage Examinations Manager | Conference of State Bank Supervisors | Not Available |
| Certified Mortgage Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Mortgage Investigator | Conference of State Bank Supervisors | Not Available |
| Certified Multistate Mortgage Examiner-in-Charge | Conference of State Bank Supervisors | Not Available |
| Certified Operations Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Public Finance Officers | Government Finance Officers Association | Not Available |
| Certified Regulatory Compliance Manager | American Bankers Association | Not Available |
| Certified Senior Bank Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Senior CRA-Fair Lending Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Senior Money Service Business Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Senior Mortgage Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Senior Trust Examiner | Conference of State Bank Supervisors | Not Available |
| Certified Treasury Professional | Association for Financial Professionals | Not Available |
| Certified Trust Examiner | Conference of State Bank Supervisors | Not Available |
| Chartered Realty Investor | Chartered Realty Investors Society | Not Available |
| Chartered Trust and Estate Planner | American Academy of Financial Management | Not Available |
| Credit Union Compliance Expert | Credit Union National Association | Not Available |
| Earned Value Professional | AACE International, Inc. | Not Available |
| Economic Development Finance Professional | The National Development Council | Not Available |
| Fellow, Life Management Institute | LOMA | Not Available |
| Fellow, Secure Retirement Institute | LOMA | Not Available |
| Financial Information Associate | Software & Information Industry Association | Not Available |
| Housing Development Finance Professional | The National Development Council | Not Available |
| Master Analyst in Financial Forensics | National Association of Certified Valuators and Analysts | Not Available |
| Master of Financial Technical Analysis | The International Federation of Technical Analysts Inc. | Not Available |
| Microsoft Certified: Dynamics 365: Finance and Operations Apps Solution Architect Expert | Microsoft Corporation | Not Available |
| Professional Risk Manager | Professional Risk Managers International Association | Not Available |
| Registered Financial Planner | Registered Financial Planners Institute | Not Available |
| Registered Financial Specialist | American Academy of Financial Management | Not Available |
| SAP Certified Application Associate Treasury with SAP S/4HANA | SAP America, Inc. | Not Available |
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