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Finance compliance examiner skills for your resume and career

Updated January 8, 2025
3 min read
Below we've compiled a list of the most critical finance compliance examiner skills. We ranked the top skills for finance compliance examiners based on the percentage of resumes they appeared on. For example, 11.4% of finance compliance examiner resumes contained financial institutions as a skill. Continue reading to find out what skills a finance compliance examiner needs to be successful in the workplace.

15 finance compliance examiner skills for your resume and career

1. Financial Institutions

Financial Institutions come in all sizes, forms, and are meant for all sorts of purposes. Some only keep money, some only trade it, some focus on extending loans, some work with only other financial corporations or regular business and companies, and some are built to be useful and multi-purpose. A central bank, for example, is a banking institution meant to keep an eye on other banks and ensure that no laws or rules are broken or bent.

Here's how finance compliance examiners use financial institutions:
  • Participated in examinations of state-chartered financial institutions.
  • Perform compliance examinations of financial institutions, including completing Community Reinvestment Act performance evaluations, conducting CRA analysis and community contacts.

2. Audit Reports

Here's how finance compliance examiners use audit reports:
  • Review independent audit reports for supervisory problems and statutory/regulatory compliance.
  • Customized audit programs, conducted fieldwork, wrote audit reports and presented findings to management.

3. Financial Statements

A financial statement is a report of an individual or a company that includes all the information about the declared assets, the use of money, income, and also the contribution of shareholders over a certain period.

Here's how finance compliance examiners use financial statements:
  • Analyzed financial statements/reports/records/forms while focusing on lending, collection, general ledger, and compliance.
  • Interacted with various levels of management and auditors to finalize quarterly and annual financial statements.

4. Securities

Here's how finance compliance examiners use securities:
  • Conducted on-site examinations and assessed member firms' financial and operational condition; ensured compliance with securities rules and regulations.
  • Investigated information on member firm customer complaints and personnel terminations to determine possible NASD rule and securities law violations.

5. Internal Controls

Here's how finance compliance examiners use internal controls:
  • Conduct transaction testing to detect fraudulent banking activity and assess the effectiveness of internal controls in protecting bank stakeholders.
  • Provide bank management and Board of Directors with recommendation to improve weakness and deficiencies surrounding internal controls.

6. Financial Data

Here's how finance compliance examiners use financial data:
  • Reconciled and validated financial data against source documents.
  • Reviewed member firms' financial data to verify that capital position was in compliance with NYSE and SEC rules and regulations.

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7. Regulatory Compliance

Here's how finance compliance examiners use regulatory compliance:
  • Performed risk focused financial and compliance audits, including asset and security auditing and financial accounting and regulatory compliance.
  • Review a Broker-Dealer's Advertising/Websites and Communication with Customers for regulatory compliance.

8. State Laws

Here's how finance compliance examiners use state laws:
  • Interpret Federal and State laws, regulations, policies, standards, and procedures to specific financial issues.
  • Review residential, commercial, and consumer loans for compliance with applicable federal and state laws and regulations.

9. AML

AML refers to the rules and systems set up by governments, financial institutions, or organizations to prevent fraudulent economic activities.

Here's how finance compliance examiners use aml:
  • Advised and consulted with lines of business to ensure full AML compliance.
  • Uncovered possible AML money laundering violation.

10. Corrective Action

Here's how finance compliance examiners use corrective action:
  • Research and prepared financial reports, perform analyzes, developed and present recommendations for appropriate corrective actions for identified program/policies weaknesses.
  • Draft examination reports highlighting the key findings; interface with management to make recommendations for implementing corrective actions.

11. Regulatory Agencies

A regulatory agency is a Public Benefit Corporation (PBC) that is responsible for supervising certain human activities and controlling them to some extent. They are set up in some areas such as hospitals, law firms, and governmental setup to regulate safety standards. They prevent undue and unjust abuse of power in these setups.

Here's how finance compliance examiners use regulatory agencies:
  • Participated in investigations of customer complaints, coordinating responses and escalating issues to appropriate regulatory agencies.
  • Communicate examination findings to financial institution board of directors and other regulatory agencies.

12. Federal Laws

The laws formed and upheld by the federal administrating body of a country are known as federal laws. A federal administrating body or government is formed by a political party after being elected by the general public.

Here's how finance compliance examiners use federal laws:
  • Provided advice and training regarding state and federal laws, rules, and regulation to licensees, examiners and supervisor.
  • Review and analyze rebuilt motor vehicle applications and auto dealer records in accordance with state and federal laws.

13. Liability Management

Here's how finance compliance examiners use liability management:
  • Examine interest rate risk through analyzing complex asset-liability management.
  • Review asset-liability management using NEV and NII simulations.

14. FINRA

Here's how finance compliance examiners use finra:
  • Communicated effectively with representatives, regional compliance staff and auditors regarding FINRA and firm rules and regulations
  • Review trading floor activities of member firms to ensure the firm is in compliance with FINRA and SEC rules and regulations.

15. Examination Procedures

Here's how finance compliance examiners use examination procedures:
  • Assisted in the training of new examiners for both depository and non-depository division examination procedures.
  • Conducted fair lending examinations and Community Reinvestment Act (CRA) performance evaluations in accordance with applicable interagency examination procedures.
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List of finance compliance examiner skills to add to your resume

Finance compliance examiner skills

The most important skills for a finance compliance examiner resume and required skills for a finance compliance examiner to have include:

  • Financial Institutions
  • Audit Reports
  • Financial Statements
  • Securities
  • Internal Controls
  • Financial Data
  • Regulatory Compliance
  • State Laws
  • AML
  • Corrective Action
  • Regulatory Agencies
  • Federal Laws
  • Liability Management
  • FINRA
  • Examination Procedures
  • Examination Process
  • Community Reinvestment ACT
  • Examination Reports
  • Anti-Money Laundering
  • BSA
  • Balance Sheet
  • Consumer Complaints
  • Bank Management
  • Asset Quality
  • Financial Analysis
  • GAAP
  • FDIC
  • Secrecy
  • Credit Unions
  • Examination Findings
  • NFA
  • Bank Secrecy Act
  • Real Estate
  • Transmitters
  • Supervisory Procedures
  • Examiner-In-Charge
  • Compliance Issues
  • Ledgers
  • Audit Findings
  • Federal Regulations
  • OFAC
  • Compliance Reviews
  • Financial Reports
  • Financial Examinations
  • Sales Practices
  • Truth

Updated January 8, 2025

Zippia Research Team
Zippia Team

Editorial Staff

The Zippia Research Team has spent countless hours reviewing resumes, job postings, and government data to determine what goes into getting a job in each phase of life. Professional writers and data scientists comprise the Zippia Research Team.

Updated January 8, 2025

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