What does a finance compliance examiner do?
A finance compliance examiner's main job is to check whether facilities follow and abide by appropriate procedures, security regulations, and enforceable company policies. They analyze the accuracy of financial statements, records, forms, and reports on file and meet with different management and auditors to conclude quarterly and annual financial statements. Internal audit knowledge and integrity play a high role in this position since they will also be working on anti-money laundering and anti-corruption programs. They also recommend, direct, and monitor the implementation of revised guidelines and regulations to ensure compliance.
Finance compliance examiner responsibilities
Here are examples of responsibilities from real finance compliance examiner resumes:
- 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.
- Conduct on-site examinations and assess member firms' financial and operational condition; ensure compliance with securities rules and regulations.
- Develop oversight programs for enhance supervisory scenarios, engage others to act responsibly and minimize operational risks and internal controls issues.
- Work on novel issues relate to medical receivables private placements and blind pool offerings.
Finance compliance examiner skills and personality traits
We calculated that 11% of Finance Compliance Examiners are proficient in Financial Institutions, Audit Reports, and Financial Statements. They’re also known for soft skills such as Analytical skills, Math skills, and Writing skills.
We break down the percentage of Finance Compliance Examiners that have these skills listed on their resume here:
- Financial Institutions, 11%
Participated in examinations of state-chartered financial institutions.
- Audit Reports, 7%
Review independent audit reports for supervisory problems and statutory/regulatory compliance.
- Financial Statements, 6%
Analyzed financial statements/reports/records/forms while focusing on lending, collection, general ledger, and compliance.
- Securities, 5%
Conducted on-site examinations and assessed member firms' financial and operational condition; ensured compliance with securities rules and regulations.
- Internal Controls, 5%
Conduct transaction testing to detect fraudulent banking activity and assess the effectiveness of internal controls in protecting bank stakeholders.
- Financial Data, 4%
Reconciled and validated financial data against source documents.
Most finance compliance examiners use their skills in "financial institutions," "audit reports," and "financial statements" to do their jobs. You can find more detail on essential finance compliance examiner responsibilities here:
Analytical skills. To carry out their duties, the most important skill for a finance compliance examiner to have is analytical skills. Their role and responsibilities require that "financial examiners need to evaluate how well the managers of financial institutions are handling risk and whether the individual loans the institution makes are safe." Finance compliance examiners often use analytical skills in their day-to-day job, as shown by this real resume: "conduct quarterly monitoring, including review of financial reports for changes and trends and complaint analysis for potential supervisory plan amendments. "
Math skills. Another soft skill that's essential for fulfilling finance compliance examiner duties is math skills. The role rewards competence in this skill because "financial examiners must do calculations and monitor balance sheets to ensure that a financial institution has available cash." According to a finance compliance examiner resume, here's how finance compliance examiners can utilize math skills in their job responsibilities: "compile mis statistics and issue the weekly and monthly ofac compliance status report. "
Writing skills. finance compliance examiners are also known for writing skills, which are critical to their duties. You can see how this skill relates to finance compliance examiner responsibilities, because "financial examiners regularly write reports on the safety and soundness of financial institutions." A finance compliance examiner resume example shows how writing skills is used in the workplace: "lead and direct teams of examiners as the writing examiner-in-charge of financial institutions, including problem institutions. "
Detail oriented. For certain finance compliance examiner responsibilities to be completed, the job requires competence in "detail oriented." The day-to-day duties of a finance compliance examiner rely on this skill, as "financial examiners must pay close attention to minutiae when reviewing balance sheets in order to identify risky assets." For example, this snippet was taken directly from a resume about how this skill applies to what finance compliance examiners do: "selected for long-term detail on project to streamline and standardize examination procedures in washington (national) office. "
The three companies that hire the most finance compliance examiners are:
- U.S. Bank93 finance compliance examiners jobs
- Indiana State Police4 finance compliance examiners jobs
- Morgan Stanley2 finance compliance examiners jobs
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Compare different finance compliance examiners
Finance compliance examiner vs. Senior capital markets specialist
There are some key differences in the responsibilities of each position. For example, finance compliance examiner responsibilities require skills like "financial institutions," "audit reports," "internal controls," and "financial data." Meanwhile a typical senior capital markets specialist has skills in areas such as "derivative," "treasury," "fixed income," and "advisory services." This difference in skills reveals the differences in what each career does.
On average, senior capital markets specialists reach higher levels of education than finance compliance examiners. Senior capital markets specialists are 13.9% more likely to earn a Master's Degree and 2.2% less likely to graduate with a Doctoral Degree.Finance compliance examiner vs. Community reinvestment act officer
While some skills are similar in these professions, other skills aren't so similar. For example, resumes show us that finance compliance examiner responsibilities requires skills like "financial institutions," "financial statements," "securities," and "financial data." But a community reinvestment act officer might use other skills in their typical duties, such as, "cra," "affordable housing," "payment assistance," and "occ."
Community reinvestment act officers earn lower levels of education than finance compliance examiners in general. They're 14.1% less likely to graduate with a Master's Degree and 2.2% less likely to earn a Doctoral Degree.Finance compliance examiner vs. Examination proctor
The required skills of the two careers differ considerably. For example, finance compliance examiners are more likely to have skills like "financial institutions," "audit reports," "financial statements," and "securities." But a examination proctor is more likely to have skills like "test materials," "test administration," "test room," and "examination rooms."
Examination proctors typically earn similar educational levels compared to finance compliance examiners. Specifically, they're 3.6% less likely to graduate with a Master's Degree, and 0.9% less likely to earn a Doctoral Degree.Finance compliance examiner vs. Examining officer
Even though a few skill sets overlap between finance compliance examiners and examining officers, there are some differences that are important to note. For one, a finance compliance examiner might have more use for skills like "financial institutions," "audit reports," "financial statements," and "securities." Meanwhile, some responsibilities of examining officers require skills like "performance reviews," "audit process," "literature," and "human resources administration. "
Examining officers reach similar levels of education compared to finance compliance examiners, in general. The difference is that they're 1.5% more likely to earn a Master's Degree, and 4.0% more likely to graduate with a Doctoral Degree.Types of finance compliance examiner
Updated January 8, 2025
