Finance compliance examiner job description
Updated March 14, 2024
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Example finance compliance examiner requirements on a job description
Finance compliance examiner requirements can be divided into technical requirements and required soft skills. The lists below show the most common requirements included in finance compliance examiner job postings.
Sample finance compliance examiner requirements
- Bachelor's degree in finance, accounting, or related field
- Experience in finance compliance, risk management, or auditing
- Knowledge of regulatory requirements and industry standards
- Ability to analyze and interpret financial data
- Strong attention to detail and accuracy
Sample required finance compliance examiner soft skills
- Excellent communication skills, both written and verbal
- Ability to work independently and as part of a team
- Strong problem-solving and critical thinking skills
- Ability to manage multiple tasks and deadlines
- High level of integrity and ethical behavior
Finance compliance examiner job description example 1
State of Ohio finance compliance examiner job description
As Ohio's Secretary of State, Frank LaRose is doing his part to deliver a thriving democracy and a prosperous economy for all Ohioans. In his role as the state's chief elections officer, he's working to ensure that Ohio's elections are both secure and accessible. And, as the first stop for new businesses in the Buckeye State, he is assisting entrepreneurs as they receive articles of incorporation for a new business.
The Ohio Secretary of State is currently seeking candidates for a Campaign Finance Examiner 2. The duties of the position include but are not limited to:
* Under direct supervision of Campaign Finance Deputy Administrator; reviews complex campaign finance reports involving two or more campaign finance issues for appropriateness of contributions and expenditures of funds, timeliness of filing and completeness of information; examines reports by using guidelines and checklists for compliance with campaign finance laws and regulations; requests additional information from filer as needed; prepares referrals to Ohio Elections Commission for late reports or other violations; prepares reports of findings and recommendations; serves as lead worker providing general work direction and training to lower level examiner.
* Answers inquiries from campaign and political action committees regarding registration and reporting requirements; assists with specialized projects or assignments; attends and participates in meetings, hearings and seminars (e.g., Ohio Election Commission hearings, Campaign Finance Seminars, Summer Conference); assists in review of campaign finance database; prepares monthly progress reports.
* Researches and analyzes campaign finance computer records and prepares data as needed; maintains campaign finance forms and responds to inquiries; enters or scans campaign data (e.g., registration information, date and type of reports filed, page totals, contribution/expenditure totals) into computer and generates reports; reviews database work performed by lower level examiners.
Minimum Qualification:
Completion of undergraduate degree program or completion of paralegal certificate program,
Or 4 years experience in managing campaign finance activity for reporting entity,
Or 36 months experience as Campaign Finance Examiner 1, 66241S with 16 semester or 24 quarter hours in finance or accounting.
The Ohio Secretary of State is currently seeking candidates for a Campaign Finance Examiner 2. The duties of the position include but are not limited to:
* Under direct supervision of Campaign Finance Deputy Administrator; reviews complex campaign finance reports involving two or more campaign finance issues for appropriateness of contributions and expenditures of funds, timeliness of filing and completeness of information; examines reports by using guidelines and checklists for compliance with campaign finance laws and regulations; requests additional information from filer as needed; prepares referrals to Ohio Elections Commission for late reports or other violations; prepares reports of findings and recommendations; serves as lead worker providing general work direction and training to lower level examiner.
* Answers inquiries from campaign and political action committees regarding registration and reporting requirements; assists with specialized projects or assignments; attends and participates in meetings, hearings and seminars (e.g., Ohio Election Commission hearings, Campaign Finance Seminars, Summer Conference); assists in review of campaign finance database; prepares monthly progress reports.
* Researches and analyzes campaign finance computer records and prepares data as needed; maintains campaign finance forms and responds to inquiries; enters or scans campaign data (e.g., registration information, date and type of reports filed, page totals, contribution/expenditure totals) into computer and generates reports; reviews database work performed by lower level examiners.
Minimum Qualification:
Completion of undergraduate degree program or completion of paralegal certificate program,
Or 4 years experience in managing campaign finance activity for reporting entity,
Or 36 months experience as Campaign Finance Examiner 1, 66241S with 16 semester or 24 quarter hours in finance or accounting.
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Finance compliance examiner job description example 2
State Bar of Michigan finance compliance examiner job description
The Department of Insurance and Financial Services (DIFS) is seeking an individual to work in public service as a Financial Institutions Examiner in Michigan's insurance sector. This is an opportunity to build a lifelong career doing work that truly matters - protecting consumers and maintaining sound businesses in the areas of:
* Auto Insurance.
* Property Insurance.
* Casualty Insurance.
* Life Insurance.
* Health Insurance.
* Alternative Health and Finance Delivery Systems.
The right candidate will serve an important role in Michigan's insurance sector by ensuring insurance companies provide safe, sound, and reliable financial services to consumers.
As a financial institutions examiner, you will be responsible for monitoring and examining the condition of insurance companies in Michigan. Examiners regularly meet with management teams, Boards of Directors, and other professionals associated with the industry to provide guidance, evaluate compliance with state and federal regulations, answer questions, and encourage sound business practices.
Ideal candidates will have:
* The drive to serve the people of the State of Michigan and make a difference in an important economic sector that supports the financial needs of Michigan citizens and businesses.
* The ability to thrive in a dynamic, collaborative, and high-tech environment while demonstrating sound professional judgment and decision-making.
* A curious and analytical mind capable of analyzing financial performance, identifying, and assessing risks, developing solutions, and supporting conclusions.
* The ability to communicate clearly, concisely, and effectively both orally and in writing.
* The desire to work closely with colleagues and senior leaders to solve problems.
* The ability to work well independently and within a team.
* The willingness to travel with some travel requiring overnight stay.
The ideal candidate will assess the regulated entities' compliance with state regulations and statutory accounting principles.
Work Location:You will perform portions of examinations at the offices of insurance entities and complete assignments at your official workstation (i.e., home). In-state travel, including overnight, is required, as well as some out-of-state travel for training. This position is responsible for examinations in the Lansing area. DIFS is looking for a team member who is willing to live within a 1-hour drive of Lansing.
DIFS is looking for team members who have an interest in helping others, who want to learn and grow as professionals, and who want to enjoy all the exciting things that life in Michigan has to offer. Personnel in these positions routinely advance to higher pay, as well as become eligible for management opportunities. These positions provide competitive pay, retirement, health, vision, and dental benefits.
For more information about this posting, clickhere
Please attach a cover letter, resume, copy of official transcripts and a two-page business writing sample.Failure to attach the requested documents may result in your application being screened out.
Required Education and Experience
Education
Possession of a bachelor's degree with a business major including completion of a business core curriculum consisting of one course each in finance, law, and management, one course in either marketing or economics, and 6 semester (9 term) credits in accounting.
* Auto Insurance.
* Property Insurance.
* Casualty Insurance.
* Life Insurance.
* Health Insurance.
* Alternative Health and Finance Delivery Systems.
The right candidate will serve an important role in Michigan's insurance sector by ensuring insurance companies provide safe, sound, and reliable financial services to consumers.
As a financial institutions examiner, you will be responsible for monitoring and examining the condition of insurance companies in Michigan. Examiners regularly meet with management teams, Boards of Directors, and other professionals associated with the industry to provide guidance, evaluate compliance with state and federal regulations, answer questions, and encourage sound business practices.
Ideal candidates will have:
* The drive to serve the people of the State of Michigan and make a difference in an important economic sector that supports the financial needs of Michigan citizens and businesses.
* The ability to thrive in a dynamic, collaborative, and high-tech environment while demonstrating sound professional judgment and decision-making.
* A curious and analytical mind capable of analyzing financial performance, identifying, and assessing risks, developing solutions, and supporting conclusions.
* The ability to communicate clearly, concisely, and effectively both orally and in writing.
* The desire to work closely with colleagues and senior leaders to solve problems.
* The ability to work well independently and within a team.
* The willingness to travel with some travel requiring overnight stay.
The ideal candidate will assess the regulated entities' compliance with state regulations and statutory accounting principles.
Work Location:You will perform portions of examinations at the offices of insurance entities and complete assignments at your official workstation (i.e., home). In-state travel, including overnight, is required, as well as some out-of-state travel for training. This position is responsible for examinations in the Lansing area. DIFS is looking for a team member who is willing to live within a 1-hour drive of Lansing.
DIFS is looking for team members who have an interest in helping others, who want to learn and grow as professionals, and who want to enjoy all the exciting things that life in Michigan has to offer. Personnel in these positions routinely advance to higher pay, as well as become eligible for management opportunities. These positions provide competitive pay, retirement, health, vision, and dental benefits.
For more information about this posting, clickhere
Please attach a cover letter, resume, copy of official transcripts and a two-page business writing sample.Failure to attach the requested documents may result in your application being screened out.
Required Education and Experience
Education
Possession of a bachelor's degree with a business major including completion of a business core curriculum consisting of one course each in finance, law, and management, one course in either marketing or economics, and 6 semester (9 term) credits in accounting.
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Finance compliance examiner job description example 3
BlackRock finance compliance examiner job description
**About this role**
Americas Financial Crime, Associate
BlackRock's Global Compliance Department protects BlackRock's reputation and provides advice to the business ensuring the protection of our client's best interests. The department is a multifaceted environment with the team passionate about understanding evolving business strategy, challenging and advising on the impact of regulation in our business, with the objective of:
+ Actively participating in business decisions to foster our clients' interests and assist the business in translating Compliance into their daily work and decision making
+ Putting client interests at the center of everything we do
+ Encouraging and improving BlackRock's compliance culture
+ Providing thought leadership on the effect and implementation of regulation to our business and to the market
+ Developing and encouraging perfection within the Compliance team
Job Purpose:
The firm is seeking an individual to be part of the Americas Financial Crime Team located in our San Francisco Office, providing AML compliance support to a specific regulated legal entity. In this role, you will need to demonstrate knowledge of, and experience in dealing with, financial crime issues, with a focus on anti-money laundering and sanctions, and an ability larger team in multiple locations. The role will report to a Vice President in the team, also based in San Francisco.
Key Responsibilities:
+ Provide support for regulatory inspections, internal and external audits
+ Seek the day to day responsibilities for the AML framework for a specific legal entity by reviewing client onboarding and refresh critical issues, negative media issues, and PEP partner concerns
+ Conduct monitoring reviews and testing of CDD/KYC, Transaction Surveillance, and third-party administrators who provide services that relate to the legal entity
+ Produce metric and Board reports
+ Assist with annual risk assessments
+ Provide advice to business regarding interpretation of AML regulatory requirements
+ Prepare training materials and provide training to business and operations teams
+ Work within a global team and support global initiatives and other team members as appropriate
Knowledge/Experience:
+ The successful candidate should have 4+years experience in Financial Crime areas at other financial institutions
+ Knowledge of AML regulations, including the U.S. Bank Secrecy Act, the USA PATRIOT Act, OCC regulations and OFAC requirements. Understanding of bribery and corruption and fraud risks would be beneficial.
+ Experience in CDD/KYC and/or compliance testing is preferred
+ Experience working on regulatory examinations would be an advantage
+ Proven record working as part of a team and independently in a fast-paced environment
+ Excellent communication, judgment and business partnership skills
+ Proactive, self-motivated and with excellent organizational skills with ability to prioritize workloads and meet turnaround times
**Our benefits**
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
**About BlackRock**
BlackRock's purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, we help millions of people build savings that serve them throughout their lives by making investing easier and more affordable.
For additional information on BlackRock, please visit www.blackrock.com/corporate | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/blackrock
BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.
We recruit, hire, train, promote, pay, and administer all personnel actions without regard to race, color, religion, sex (including pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), sex stereotyping (including assumptions about a person's appearance or behavior, gender roles, gender expression, or gender identity), gender, gender identity, gender expression, national origin, age, mental or physical disability, ancestry, medical condition, marital status, military or veteran status, citizenship status, sexual orientation, genetic information, or any other status protected by applicable law. We interpret these protected statuses broadly to include both the actual status and also any perceptions and assumptions made regarding these statuses.BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.
Americas Financial Crime, Associate
BlackRock's Global Compliance Department protects BlackRock's reputation and provides advice to the business ensuring the protection of our client's best interests. The department is a multifaceted environment with the team passionate about understanding evolving business strategy, challenging and advising on the impact of regulation in our business, with the objective of:
+ Actively participating in business decisions to foster our clients' interests and assist the business in translating Compliance into their daily work and decision making
+ Putting client interests at the center of everything we do
+ Encouraging and improving BlackRock's compliance culture
+ Providing thought leadership on the effect and implementation of regulation to our business and to the market
+ Developing and encouraging perfection within the Compliance team
Job Purpose:
The firm is seeking an individual to be part of the Americas Financial Crime Team located in our San Francisco Office, providing AML compliance support to a specific regulated legal entity. In this role, you will need to demonstrate knowledge of, and experience in dealing with, financial crime issues, with a focus on anti-money laundering and sanctions, and an ability larger team in multiple locations. The role will report to a Vice President in the team, also based in San Francisco.
Key Responsibilities:
+ Provide support for regulatory inspections, internal and external audits
+ Seek the day to day responsibilities for the AML framework for a specific legal entity by reviewing client onboarding and refresh critical issues, negative media issues, and PEP partner concerns
+ Conduct monitoring reviews and testing of CDD/KYC, Transaction Surveillance, and third-party administrators who provide services that relate to the legal entity
+ Produce metric and Board reports
+ Assist with annual risk assessments
+ Provide advice to business regarding interpretation of AML regulatory requirements
+ Prepare training materials and provide training to business and operations teams
+ Work within a global team and support global initiatives and other team members as appropriate
Knowledge/Experience:
+ The successful candidate should have 4+years experience in Financial Crime areas at other financial institutions
+ Knowledge of AML regulations, including the U.S. Bank Secrecy Act, the USA PATRIOT Act, OCC regulations and OFAC requirements. Understanding of bribery and corruption and fraud risks would be beneficial.
+ Experience in CDD/KYC and/or compliance testing is preferred
+ Experience working on regulatory examinations would be an advantage
+ Proven record working as part of a team and independently in a fast-paced environment
+ Excellent communication, judgment and business partnership skills
+ Proactive, self-motivated and with excellent organizational skills with ability to prioritize workloads and meet turnaround times
**Our benefits**
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
**About BlackRock**
BlackRock's purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, we help millions of people build savings that serve them throughout their lives by making investing easier and more affordable.
For additional information on BlackRock, please visit www.blackrock.com/corporate | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/blackrock
BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.
We recruit, hire, train, promote, pay, and administer all personnel actions without regard to race, color, religion, sex (including pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), sex stereotyping (including assumptions about a person's appearance or behavior, gender roles, gender expression, or gender identity), gender, gender identity, gender expression, national origin, age, mental or physical disability, ancestry, medical condition, marital status, military or veteran status, citizenship status, sexual orientation, genetic information, or any other status protected by applicable law. We interpret these protected statuses broadly to include both the actual status and also any perceptions and assumptions made regarding these statuses.BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.
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Updated March 14, 2024
Updated March 14, 2024