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Finance compliance examiner vs principal examiner

The differences between finance compliance examiners and principal examiners can be seen in a few details. Each job has different responsibilities and duties. Additionally, a principal examiner has an average salary of $74,253, which is higher than the $69,168 average annual salary of a finance compliance examiner.

The top three skills for a finance compliance examiner include financial institutions, audit reports and financial statements. The most important skills for a principal examiner are securities, FINRA, and financial statements.

Finance compliance examiner vs principal examiner overview

Finance Compliance ExaminerPrincipal Examiner
Yearly salary$69,168$74,253
Hourly rate$33.25$35.70
Growth rate21%21%
Number of jobs85,38141,375
Job satisfaction--
Most common degreeBachelor's Degree, 77%Bachelor's Degree, 74%
Average age4242
Years of experience--

Finance compliance examiner vs principal examiner salary

Finance compliance examiners and principal examiners have different pay scales, as shown below.

Finance Compliance ExaminerPrincipal Examiner
Average salary$69,168$74,253
Salary rangeBetween $46,000 And $102,000Between $52,000 And $105,000
Highest paying CityNew York, NY-
Highest paying stateNew York-
Best paying companyFederal Reserve Bank of New York-
Best paying industryInsurance-

Differences between finance compliance examiner and principal examiner education

There are a few differences between a finance compliance examiner and a principal examiner in terms of educational background:

Finance Compliance ExaminerPrincipal Examiner
Most common degreeBachelor's Degree, 77%Bachelor's Degree, 74%
Most common majorBusinessBusiness
Most common collegeUniversity of Southern CaliforniaUniversity of Southern California

Finance compliance examiner vs principal examiner demographics

Here are the differences between finance compliance examiners' and principal examiners' demographics:

Finance Compliance ExaminerPrincipal Examiner
Average age4242
Gender ratioMale, 58.2% Female, 41.8%Male, 63.5% Female, 36.5%
Race ratioBlack or African American, 6.7% Unknown, 5.6% Hispanic or Latino, 12.4% Asian, 10.4% White, 64.5% American Indian and Alaska Native, 0.4%Black or African American, 6.7% Unknown, 5.6% Hispanic or Latino, 12.6% Asian, 9.9% White, 64.8% American Indian and Alaska Native, 0.4%
LGBT Percentage19%19%

Differences between finance compliance examiner and principal examiner duties and responsibilities

Finance compliance examiner example responsibilities.

  • Lead a team to review new HCBS final rules settings as outlined by CMS for all contract provider agencies.
  • Verify OFAC policies are being follow and dispositions are adequate.
  • Work 314b information request cases, evaluate cases for SAR/no SAR filing.
  • Create written publications and online compliance and ethics training for staff and providers.
  • Conduct enhance due diligence investigations relate to OFAC monitoring alerts.
  • Investigate information on member firm customer complaints and personnel terminations to determine possible NASD rule and securities law violations.
  • Show more

Principal examiner example responsibilities.

  • Manage large ATF cases in coordination with other supervisors and field members.
  • Lead a team of ten examiners responsible for reviewing and evaluating taxpayer information and offers of compromise for overdue IRS payments.
  • Provide regulatory advice and reviews relating to compliance (including sanctions regimes), transactions, and litigation for depository institutions.
  • Review individual general ledger accounts and reconcile those accounts to subsidiary ledgers or statements.

Finance compliance examiner vs principal examiner skills

Common finance compliance examiner skills
  • Financial Institutions, 11%
  • Audit Reports, 7%
  • Financial Statements, 6%
  • Securities, 5%
  • Internal Controls, 5%
  • Financial Data, 4%
Common principal examiner skills
  • Securities, 22%
  • FINRA, 20%
  • Financial Statements, 18%
  • Business Lines, 16%
  • Relevant Rules, 7%
  • Examination Process, 4%

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