Financial Non-Depository Examiner Lead/Advanced
Job Purpose: To examine/investigate all areas of licensed non-depository financial services providers for compliance with laws and regulations, to protect the general public by ensuring licensees engage in safe and sound financial services activity in a lawful, honest, fair, and efficient manner, and promote integrity and confidence in the financial services industries regulated by the Commissioner of Financial Regulation. A Senior Financial Non-Depository Examiner reviews and approves the work of and trains lower-level Financial Non-Depository Examiners. A Senior Financial Non-Depository Examiner also functions as Examiner-In-Charge (EIC) with full responsibility for the entire examination/investigation team and the completion of examination/investigation reports and recommendations for corrective actions of the institutions being examined. A Senior Financial Non-Depository Examiner is an examiner position that may, in management's discretion, work remotely in accordance with the Agency's telework policies. Job Duties: Assigns, reviews, and approves the work of and trains lower-level Financial Non-Depository Examiners, including providing advice and guidance to lower-level Financial Non-Depository Examiners in all facets of the examination/investigation process. Interacting with representatives of financial institutions, including coordinating the examination/investigation, requesting information and documentation, requesting explanations as to business activity, procedures and policies, conducting an end of examination/investigation exit interview, and resolving examination/investigation findings. Review the books and records of financial institutions to ensure compliance with federal and state laws and regulations.