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Become A Finance Compliance Examiner

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Working As A Finance Compliance Examiner

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

  • Mostly Sitting

  • $95,000

    Average Salary

What Does A Finance Compliance Examiner Do

Financial examiners ensure compliance with laws governing financial institutions and transactions. They review balance sheets, evaluate the risk level of loans, and assess bank management.

Duties

Financial examiners typically do the following:

  • Monitor the financial condition of banks and other financial institutions
  • Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities
  • Prepare reports that detail an institution’s safety and soundness
  • Examine the minutes of meetings of managers and directors
  • Train other examiners in the financial examination process
  • Review and analyze new regulations and policies to determine their impact on the organization
  • Establish guidelines for procedures and policies that comply with new and revised regulations

Financial examiners typically work in one of two main areas: risk scoping or consumer compliance.

Those working in risk scoping evaluate the health of financial institutions. Their role is to ensure that banks and other financial institutions offer safe loans and that they have enough cash on hand to handle unexpected losses. These procedures help ensure that the financial system as a whole remains stable. These examiners also evaluate the performance of bank managers.

Financial examiners working in consumer compliance monitor lending activity to ensure that borrowers are treated fairly. They ensure that banks extend loans that borrowers are likely to be able to pay back. They help borrowers avoid “predatory loans”—loans that may generate profit for banks through high interest payments but may be costly to borrowers and damage their credit scores. Examiners also ensure that banks do not discriminate against borrowers based on ethnicity or other characteristics.

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How To Become A Finance Compliance Examiner

Financial examiners typically need a bachelor’s degree that includes some coursework in accounting. Entry-level examiners are trained on the job by senior examiners.

Education

Specific requirements for financial examiners vary between federal and state governments. However, all financial examiners typically need a bachelor’s degree that includes some coursework in accounting, finance, economics, or a related field. Examiners working for the Federal Deposit Insurance Corporation (FDIC) must have at least 6 semester hours in accounting.

Training

Once hired, financial examiners receive on-the-job training. Entry-level workers begin under the supervision of senior examiners, as they learn their job duties.

Advancement

After a few years of experience, financial examiners can advance to a senior examiner position. Requirements for these positions vary by employer but often require a master’s degree in either accounting or business or becoming a Certified Public Accountant (CPA).

Important Qualities

Analytical skills. Financial examiners need strong analytical skills to evaluate how well the managers of financial institutions are handling risk and whether the individual loans the institution makes are safe.

Detail oriented. Financial examiners must pay close attention to details when reviewing balance sheets to identify risky assets.

Math skills. Financial examiners need good math skills to monitor balance sheets and see if the bank’s or other financial institution’s available cash is dangerously low.

Writing skills. Financial examiners regularly write reports on the safety and soundness of financial institutions. They must be able to explain technical information clearly.

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Finance Compliance Examiner Jobs

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Finance Compliance Examiner Career Paths

Finance Compliance Examiner
Accountant Controller Chief Finance Officer
Chief Finance And Operating Officer
14 Yearsyrs
Accountant Owner Operations Vice President
Senior Vice President-Operations
14 Yearsyrs
Accountant Manager Vice President
Group Vice President
9 Yearsyrs
Senior Examiner Assistant Vice President
Compliance Vice President
12 Yearsyrs
Senior Examiner Assistant Vice President Finance Director
Senior Director Of Finance
14 Yearsyrs
Senior Examiner Assistant Vice President Regional Vice President
Division Vice President
11 Yearsyrs
Compliance Officer Compliance Specialist Compliance Manager
Compliance Director
12 Yearsyrs
Compliance Officer Office Manager Accounting Manager
Corporate Accounting Manager
8 Yearsyrs
Compliance Officer Office Manager Controller
Director Of Operations And Finance
11 Yearsyrs
Examiner Consultant Senior Finance Analyst
Manager, Finance Analysis
8 Yearsyrs
Examiner Claims Adjuster Claims Manager
Risk Manager
8 Yearsyrs
Examiner Claims Adjuster Branch Manager
Business Development Officer
7 Yearsyrs
Compliance Specialist Senior Associate Finance Vice President
Administration Vice President
6 Yearsyrs
Compliance Specialist Office Manager Business Office Manager
Business Services Director
10 Yearsyrs
Internal Auditor Specialist Benefit Specialist
Employee Benefits Manager
7 Yearsyrs
Internal Auditor Senior Auditor Audit Manager
Assurance Manager
8 Yearsyrs
Internal Auditor Budget Analyst Grant Manager
Grants Director
9 Yearsyrs
Compliance Analyst Senior Underwriter Credit Officer
Credit Administration Manager
7 Yearsyrs
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Do you work as a Finance Compliance Examiner?

Help others decide if this is a good career for them

Do you work as a Finance Compliance Examiner?

Average Yearly Salary
$95,000
View Detailed Salary Report
$53,000
Min 10%
$95,000
Median 50%
$95,000
Median 50%
$95,000
Median 50%
$95,000
Median 50%
$95,000
Median 50%
$95,000
Median 50%
$95,000
Median 50%
$171,000
Max 90%
Best Paying Company
State of New York
Highest Paying City
Saint Paul, MN
Highest Paying State
North Dakota
Avg Experience Level
3.3 years
How much does a Finance Compliance Examiner make at top companies?
The national average salary for a Finance Compliance Examiner in the United States is $95,613 per year or $46 per hour. Those in the bottom 10 percent make under $53,000 a year, and the top 10 percent make over $171,000.

Real Finance Compliance Examiner Salaries

Job Title Company Location Start Date Salary
Financial Examiners Hewlett-Packard Company Marlborough, MA Jun 02, 2011 $180,000
Financial Examiners Morgan Stanley & Co. LLC New York, NY Oct 27, 2011 $175,000
Financial Examiners Banco Bilbao Vizcaya Argentaria New York, NY Oct 30, 2013 $175,000 -
$400,000
Financial Examiners Deloitte Fas LLP New York, NY May 11, 2012 $175,000 -
$190,000
Financial Examiners MacQuarie Holdings (USA) Inc. New York, NY Jun 23, 2011 $175,000
Financial Examiners RBC Capital Markets, LLC New York, NY Jun 14, 2011 $150,000
Financial Examiners Deutsche Bank Securities, Inc. New York, NY Jan 05, 2011 $150,000
Financial Examiners Credit Agricole America Services, Inc. New York, NY Jan 12, 2012 $140,000
Financial Examiners UBS AG Stamford, CT Jun 03, 2013 $131,000
Financial Examiners Deloitte Consulting LLP New York, NY Mar 20, 2014 $129,772 -
$180,000
Financial Examiners Morgan Stanley & Co. LLC New York, NY Mar 08, 2013 $129,771
Financial Examiners Travelex America Inc. New York, NY Aug 23, 2012 $129,100
Financial Examiners Allianz Asset Management of America LP New York, NY Jan 11, 2013 $129,085
Financial Examiners Deutsche Bank New York, NY Jan 25, 2011 $125,000
Financial Examiners Pricewaterhousecoopers Florham Park, NJ Oct 21, 2011 $104,000
Financial Examiners Tech Power International Stafford, TX Jun 03, 2013 $103,813
Associate, Financial Examiner (Regulatory Reportin Nomura Securities International, Inc. New York, NY Sep 30, 2014 $96,000 -
$106,000
Financial Examiners Navigant Capital Advisors Chicago, IL Dec 04, 2012 $95,000 -
$145,000
Financial Examiner Westminster Securities Corporation New York, NY Aug 15, 2016 $93,915
Financial Examiners Gulf Oil, L.P. Framingham, MA Aug 03, 2011 $92,500
Financial Examiners FMR LLC Merrimack, NH Jul 08, 2014 $90,667
Financial Examiners Nomura Securities International, Inc. New York, NY May 24, 2011 $90,000
Financial Examiner Global Underwriters, LLC Sunrise, FL Jan 26, 2011 $66,144
Financial Examiner CMR Investment Consulting, LLC Alhambra, CA Dec 01, 2014 $64,800
Financial Examiners Habib Bank Limited New York, NY Feb 11, 2011 $64,605
Financial Examiners International Finance Bank Miami, FL Feb 07, 2014 $64,293
Financial Examiner AAXY, LLC Austin, TX Nov 09, 2016 $62,317
Financial Examiner Mountain West Financial, Inc. Redlands, CA Sep 10, 2014 $61,003
Senior Financial and Compliance Examiner Market Pioneer International Corp. Irving, TX Feb 09, 2015 $61,000
Financial Examiners Institutional Shareholder Services, Inc. Rockville, MD Jun 17, 2011 $60,000 -
$80,000

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Top Skills for A Finance Compliance Examiner

  1. Financial Institutions
  2. Ensure Compliance
  3. Audit Procedures
You can check out examples of real life uses of top skills on resumes here:
  • Participated in examinations of state-chartered financial institutions.
  • Reviewed and analyzed documentation submitted by swap dealers pursuant to the 4s Regulations to ensure compliance and identify deficiencies or violations.
  • Supervised and trained new bureau examiners, including providing instruction on audit procedures and evaluating their completed work thereafter.
  • Analyzed financial statements/reports/records/forms while focusing on lending, collection, general ledger, and compliance.
  • Examined bank records and documents to determine if banks were in compliance with federal and state regulations.

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Average Salary:

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Top 10 Best States for Finance Compliance Examiners

  1. New York
  2. Illinois
  3. Rhode Island
  4. Georgia
  5. New Jersey
  6. District of Columbia
  7. Connecticut
  8. Massachusetts
  9. South Dakota
  10. Minnesota
  • (219 jobs)
  • (161 jobs)
  • (29 jobs)
  • (82 jobs)
  • (89 jobs)
  • (15 jobs)
  • (28 jobs)
  • (93 jobs)
  • (14 jobs)
  • (70 jobs)

Finance Compliance Examiner Demographics

Gender

Male

50.7%

Female

38.1%

Unknown

11.2%
Ethnicity

White

60.1%

Hispanic or Latino

15.1%

Black or African American

12.6%

Asian

8.5%

Unknown

3.7%
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Foreign Languages Spoken

Spanish

45.7%

French

11.4%

Russian

5.7%

Chinese

5.7%

Mandarin

5.7%

Gujarati

2.9%

German

2.9%

Hebrew

2.9%

Greek

2.9%

Hindi

2.9%

Korean

2.9%

Arabic

2.9%

Ukrainian

2.9%

Italian

2.9%
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Finance Compliance Examiner Education

Schools

University of Phoenix

9.3%

DePaul University

8.5%

Southeastern Louisiana University

6.8%

Pace University - New York

5.9%

Texas State University

5.9%

Florida State University

5.9%

Kansas State University

5.1%

University of Missouri - Saint Louis

5.1%

George Washington University

4.2%

Saint John's University - New York

4.2%

Webster University

4.2%

University of Illinois at Chicago

4.2%

University of Texas at Austin

4.2%

Louisiana State University and A&M College

4.2%

University of Iowa

4.2%

Northeastern University

4.2%

University of North Texas

3.4%

Murray State University

3.4%

Baruch College of the City University of New York

3.4%

University of Texas at San Antonio

3.4%
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Majors

Business

30.0%

Accounting

20.1%

Finance

19.8%

Law

4.7%

Economics

4.4%

Management

4.0%

Marketing

2.0%

Political Science

1.7%

Psychology

1.5%

Criminal Justice

1.5%

Business Economics

1.3%

Liberal Arts

1.3%

Information Technology

1.2%

Computer Information Systems

1.0%

Communication

1.0%

Real Estate

1.0%

Legal Research And Advanced Professional Studies

0.8%

English

0.8%

Public Administration

0.8%

Education

0.8%
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Degrees

Bachelors

52.4%

Masters

27.5%

Other

10.2%

Doctorate

5.9%

Certificate

2.3%

Associate

1.6%

License

0.1%
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