Financial Examiner

Recruitment # AR-001

Location Hartford, CT

Date Opened 10/21/2025 12:00:00 AM Salary $78,296 - $101,215/year Job Type Open to Agency Employees Close Date 10/28/2025 11:59:00 PM

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Introduction

Are you a current employee of the Department of Banking?

Are you interested in becoming a Financial Examiner in the Securities and Business Investments division?

If so, we encourage you to apply today

The State of Connecticut, Department of Banking (DOB) is accepting applications for a
Financial Examiner
opportunity in the Securities and Business Investments Division. The Financial Examiner position will independently conduct routine examinations and investigations or participate as a member of a team on larger and more complex examinations and investigations.

WE CAN OFFER YOU

• Visit our new State Employee Benefits Overview page
• Professional growth and development opportunities
• A healthy work/life balance to all employees

THE ROLE
The following enumerates a selection of duties, among others, that the successful Financial Examiner will be responsible for:

• Conduct or assist in inquiries, investigations, and/or examinations of entities regulated by the Securities and Business Investments division.
• Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities as necessary.
• Review, analyze, and assess financial and operational documentation, including bank and financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information, and other records.
• Investigate, research, and document apparent violations of applicable laws and contraventions of policy.
• Interact and communicate with both industry as well as internally to review issues and findings.
• Write reports and communicate report findings to stakeholders in examination and application processing.
• Collect and analyze information relating to the application review process including financial and operational documentation, compliance with statutes, etc.
• Analyze and assess compliance with federal and state laws and regulations.
• Learn and utilize the NEMO Multi-state Exam system, the NASAA Electronic Filing Depository (EFD), and the e-license system.

ABOUT US
The Connecticut Department of Banking is the primary state regulator for state-chartered banks and credit unions, securities, and consumer credit. Its mission is to protect users of financial services from unlawful or improper practices by ensuring regulated entities and individuals adhere to state banking, consumer credit and securities laws. The Department accomplishes this through regular, thorough, and cost-effective examinations of the entities it supervises. The Department also engages the public and other stakeholders through a variety of media platforms, educational outreach initiatives, and press communications.

POSITION HIGHLIGHTS

• Permanent full-time position working 40 hours per week
• Monday through Friday schedule
• First shift hours
• Hybrid opportunity, combination of in office and remote work, in accordance with the Telework Policy
• Centrally located at 260 Constitution Plaza in Hartford, with easy access to all major highways

Selection Plan

In order to be considered for this job opening you
must be a current State of CT employee of the agency listed above
for at least six (6) months of full-time service or full-time equivalent service, absent any applicable collective bargaining language, and meet the Minimum Qualifications as listed on the job opening. You must specify your qualifications on your application.

Check out our Applicant Tips on How to Apply Need more resources? Visit our Applicant Toolkit for additional support throughout the recruitment process.
Before You Apply

• Meet Minimum Qualifications: Ensure you meet the Minimum Qualifications listed on the job opening by the job closing date. You must specify your qualifications on your application. The minimum experience and training requirements listed must be met by the close date on the job opening, unless otherwise specified.
• Educational Credits: List your earned credits and degrees from accredited institutions accurately on your application. To receive educational credits towards qualification, the institution must be accredited. If the institution of higher learning is located outside of the U.S., you are responsible for providing documentation from a recognized USA accrediting service which specializes in determining foreign education equivalencies to the contact listed below by the closing date on the job posting.
• Resume Policy: Per Public Act 21-69, resumes are not accepted during the initial application process. As the recruitment process progresses, candidates may be required to submit additional documentation to support their qualification(s) for this position. This documentation may include: a cover letter, resume, transcripts, diplomas, performance reviews, attendance records, supervisory references, licensure, etc., at the request and discretion of the hiring agency.
• Preferred Shift/Location: Select all location(s) and shift(s) you are willing to work on your application. Failure to do so may result in not being considered for vacancies in that specific location or shift.
• Timely Submission: All application materials must be received by the job posting deadline. You will be unable to make revisions once you officially submit your application to the State. Late submissions are rarely accepted, with exceptions only for documented events that incapacitate individuals during the entire duration of the job posting. Request exceptions by emailing
• Salary Calculations: For current state employees, salary calculations are not necessarily comparable from one of the three branches of state government (i.e., Executive, Legislative, Judicial) to the other.
• Note: The only way to apply to this posting is via the 'Apply' or 'Apply Online' buttons on the official State of Connecticut Online Employment Center job posting.

After You Apply

• Referral Questions: This posting may require completion of additional Referral Questions (RQs), which must be completed by the questionnaire's expiration date. If requested, RQs can be accessed via an email sent to you after the job close date or by visiting your JobAps Personal Status Board (Certification Questionnaires section).
• Prepare For An Interview: Interviews are limited to those whose experience and training are most aligned with the role. To prepare, review this helpful Interview Preparation Guide to make the best impression
• Stay connected Log in daily to your JobAps Personal Status Board to track your status and check email (including spam/junk folders) for updates and tasks.
• The immediate vacancy is listed above, however, applications to this recruitment may be used for future vacancies in this job class.
• Note: This position will be filled in accordance with contractual language, reemployment, SEBAC, transfer, promotion and merit employment rules. Candidates who are offered and accept a position with the State of Connecticut are bound by the State Code of Ethics for Public Officials and State employees, available at

QUESTIONS? WE'RE HERE TO HELP:
Due to high volume, we are unable to confirm receipt or provide status updates directly. For recruitment updates, please check your Personal Status Board and review our Frequently Asked Questions. If you have additional questions about the recruitment process, reach out to Jasmyn Raymond at

Join the State of Connecticut and take your next career step with confidence

PURPOSE OF JOB CLASS (NATURE OF WORK)

In the Department of Banking this class is accountable for independently performing a full range of tasks in the examination and investigation of financial entities regulated by the Department of Banking.

EXAMPLES OF DUTIES

• Conducts or assists in the conduct of examinations and investigations of domestic and international banks, credit unions, broker-dealers, investment advisers, mortgage companies, consumer lenders and other financial entities;
• Assesses financial condition and/or regulatory compliance by reviewing financial and operational documentation, including financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information and other records;
• Researches and documents apparent violations of applicable laws and contraventions of policy;
• Communicates with industry and department managers to review issues and findings;
• Assists in enforcement activities such as drafting subpoenas and interviewing witnesses;
• Provides guidance to public on industry regulatory requirements and business practices through consumer complaint resolution and outreach activities;
• Reviews and makes decisions on non-routine license and registration applications;
• Prepares exam and investigation reports and correspondence;
• May provide guidance to lower level staff regarding examining procedures and techniques;
• May work with prosecuting attorneys and testify with regard to examinations or investigations;
• Performs related duties as required.

KNOWLEDGE, SKILL AND ABILITY

• Knowledge of

• the organization, operations and business practices 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;

• regulatory and investigative procedures and techniques;

• Ability to

• interpret and apply applicable statutes and regulations;

• utilize computer software;

• Skills

• oral and written communication skills;

• interpersonal skills.

Minimum Qualifications - General Experience
Six (6) years of experience in the regulation of financial entities or in accounting, auditing, banking or finance.

NOTE:
Financial entities are defined as domestic and international banks, credit unions, broker-dealers, investment advisors, mortgage companies and consumer lenders.

Minimum Qualifications - Special Experience
Two (2) years of the General Experience must have been at the paraprofessional level.

NOTE:
This experience is interpreted as work requiring the exercise of some independent judgment in the application of basic principles and practices of accounting, auditing, banking, finance or the regulation of financial entities.

Minimum Qualifications - Substitutions Allowed

• Successful completion of an Accounting Careers Trainee program approved by the Department of Administrative Services may be substituted for the General Experience and Special Experience.
• Successful completion of a Connecticut Careers Trainee program approved by the Department of Administrative Services may be substituted for the General Experience and Special Experience.
• College training may be substituted for the General Experience on the basis of fifteen (15) semester hours equalling one-half (1/2) year of experience to a maximum of four (4) years for a Bachelor's degree.
• A Master's degree in business, accounting, finance or closely related field may be substituted for one (1) additional year of the General Experience.

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 based on information gathered.

Special Requirements

• Incumbents in this class may be required to travel.
• Incumbents in this class may be required to possess and retain a valid Motor Vehicle Operator's license.

Conclusion

AN 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.

ACKNOWLEDGEMENT

As defined by Sec of the Connecticut General Statutes, a job class is a position or group of positions that share general characteristics and are categorized under a single title for administrative purposes. As such, a job class is not meant to be all-inclusive of every task and/or responsibility.

Click on a link below to apply for this position:

Fill out the Supplemental Questionnaire and Application NOW using the Internet.