Financial Examiner

Connecticut Department Of Administrative Services

Manages state resources, operations, and services, streamlining efficiency for Connecticut government.

Examine and investigate banks, credit unions, broker-dealers, and other financial entities.

17 days ago ago

$78,296 - $101,215

Junior (1-3 years), Intermediate (4-7 years)

Full Time

Hartford, CT

Office Full-Time

Company Size

1,700 Employees

Service Specialisms

Construction services

Project Management

Consulting

Engineering

Architecture

Property Development

Design

Technical Services

Sector Specialisms

Human Resources

Information Technology

Fleet Vehicle Services

Building and Construction

Procurement

Grants Administration

Role

What you would be doing

examinations

investigations

compliance review

report writing

data analysis

nemo system

Communicates with industry and department managers to review issues and findings;
Analyze and assess compliance with federal and state laws and regulations.
Provides guidance to public on industry regulatory requirements and business practices through consumer complaint resolution and outreach activities;
Prepares exam and investigation reports and correspondence;
Learn and utilize the NEMO Multi-state Exam system, the NASAA Electronic Filing Depository (EFD), and the e-license system.
May work with prosecuting attorneys and testify with regard to examinations or investigations;
Conducts or assists in the conduct of examinations and investigations of domestic and international banks, credit unions, broker-dealers, investment advisers, mortgage companies, consumer lenders and other financial entities;
Reviews and makes decisions on non-routine license and registration applications;
Collect and analyze information relating to the application review process including financial and operational documentation, compliance with statutes, etc.
Write reports and communicate report findings to stakeholders in examination and application processing.
Assists in enforcement activities such as drafting subpoenas and interviewing witnesses;
Assesses financial condition and/or regulatory compliance by reviewing financial and operational documentation, including financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information and other records;
Interact and communicate with both industry as well as internally to review issues and findings.
Stay connected! Log in daily to your JobAps Personal Status Board to track your status and check email (including spam/junk folders) for updates and tasks.
Investigate, research, and document apparent violations of applicable laws and contraventions of policy.
Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities as necessary.
Researches and documents apparent violations of applicable laws and contraventions of policy;
Conduct or assist in inquiries, investigations, and/or examinations of entities regulated by the Securities and Business Investments division.
interpret and apply applicable statutes and regulations;
May provide guidance to lower level staff regarding examining procedures and techniques;
Review, analyze, and assess financial and operational documentation, including bank and financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information, and other records.

What you bring

master’s degree

financial services

consumer protection

computer software

report writing

accounting

A Master’s degree in business, accounting, finance or closely related field may be substituted for one (1) additional year of the General Experience.
Experience conducting investigations or compliance audits.
Successful completion of a Connecticut Careers Trainee program approved by the Department of Administrative Services may be substituted for the General Experience and Special Experience.
Experience working in or regulating the banking or financial services industries.
Experience with consumer financial protection laws.
Ability to
utilize computer software;
oral and written communication skills;
Experience writing exam memorandums or investigative reports based on information gathered.
Referral Questions: This posting may require completion of additional Referral Questions (RQs), which must be completed by the questionnaire’s expiration date. If requested, RQs can be accessed via an email sent to you after the job close date or by visiting your JobAps Personal Status Board (Certification Questionnaires section).
interpersonal skills.
Incumbents in this class may be required to possess and retain a valid Motor Vehicle Operator’s license.
Incumbents in this class may be required to travel.
Successful completion of an Accounting Careers Trainee program approved by the Department of Administrative Services may be substituted for the General Experience and Special Experience.
College training may be substituted for the General Experience on the basis of fifteen (15) semester hours equalling one-half (1/2) year of experience to a maximum of four (4) years for a Bachelor’s degree.
Knowledge of
principles and practices of accounting, auditing and finance;

Benefits

Hybrid opportunity, combination of in office and remote work, in accordance with the Telework Policy
Monday through Friday schedule
Professional growth and development opportunities
Centrally located at 260 Constitution Plaza in Hartford, with easy access to all major highways
Permanent full-time position working 40 hours per week
A healthy work/life balance to all employees

Training + Development

Information not given or found

Interview process

Information not given or found

Visa Sponsorship

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Security clearance

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