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Financial Institutions Examiner
3 months ago
DEPARTMENT OF INSURANCE AND FINANCIAL INSTITUTIONS
- The Department of Insurance and Financial Institutions licenses, monitors, investigates, examines, and ensures the safety and soundness of, regulated entities. The Department also helps resolve consumer complaints against financial-services and insurance entities; takes action in response to violations of law; encourages competition, innovation, and economic development; collects taxes and assessments that support State government operations; combats auto theft and insurance fraud through public awareness campaigns, and funding for law enforcement and dedicated prosecutors._
- Our mission is to help Arizonans receive the benefits and protections to which they are legally entitled by enforcing insurance and financial institution laws and by providing information and assistance and to combat vehicle theft._
**FINANCIAL INSTITUTIONS EXAMINER - JOURNEY**
**Job Location**:
100 North 15th Avenue
Phoenix, Arizona 85007
**Posting Details**:
Annual Salary Range: $58,000 - $62,000
Grade: 21
This position will remain posted until filled
**Job Summary**:
Under direction, performs specialized professional work of unusual difficulty in the examination and analysis of the conditions and overall operations of financial institutions/enterprises including conditions of credit, financial statements, internal controls, general operation and methods, trust operations, mortgage portfolios; applies and interprets state and federal laws, rules and regulations; establishes priorities and scope of examination and analysis; writes final report of examination; conducts exit reviews with management and directors; calculates institution's overall rating; investigates complaints received against licensees; and develops cases involving violations of law by licensees.
**Job Duties**:
- Independently and as a team member, examines complex records, accounts and securities portfolios of licensees; verifies that proper and lawful procedures are being followed, that securities are appropriate for licensee being examined and that loan portfolio is of such quality to be considered a bankable asset
- Reviews financial documents used by licensees and verifies that financial accounting, controls and figures are in compliance with state and federal laws
- Analyzes financial statements of licensees in order to make determinations on compliance with state and federal laws and regulations. Composes a consolidated statement of condition and report of income and expenses based on records, reports and accounts of licensees
- Writes detailed reports based on examination, analysis and evaluation of data pertaining to specific licensees in accordance with established procedure and format
- Conducts field investigations relating to reported violations or irregularities in business or practice; interviews complainants and others, examines evidence, recommends actions and writes detailed investigative reports
- Examines department files and other relevant data prior to examination of business records to determine scope of examination needed
- Confers with Unit Supervisor, presenting and resolving problems and questions, discussing plans and actions to be taken
- Conducts exit reviews to explain the details of the examinations
- Testifies in court or informal hearings as an expert witness
- Other duties as assigned as related to the position
**Knowledge, Skills & Abilities (KSAs)**:
**Knowledge**:
- Generally accepted and regulatory accounting practices and principles and examination procedures
- Computerized products used in examining and accounting systems and use of microcomputers
- Policies and procedures established for the work units
- Investigative techniques and reporting procedures
**Skills**:
- Using investigative methods and techniques and maintaining chain of evidence
- Using computerized products and microcomputer in the examination process
- Researching, analyzing and interpreting complex financial data
- Interpreting complex laws, rules and regulations
- Work management and leadership
- Oral and written communications
- Interpersonal relationships
- Mathematical calculations
**Ability**:
- Excellent oral and written communication skills to provide conclusions and work products to other examiners and financial licensee managers
- Interpersonal skills to work well in a team environment and to interact with staff and management at various financial institutions
- Be able to travel with overnight stays away from home base
**Selective Preference(s)**:
- Past experience and training in examination or investigative work related to Financial Institutions/Enterprises
- Professional designations such as Certified Public Accountants or Certified Fraud Examiners
- Knowledge of State and Federal laws pertaining to the Mortgage Industry
**Pre-Employment Requirements**:
- Requires possession of and ability to retain a current, valid state-issued driver license appropriate to the assignment
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