Description
Ensure financial institutions and transactions comply with laws and regulations by examining records, assessing safety and soundness, and recommending corrective actions.
- • Conduct examinations of financial institutions to enforce laws and ensure safe and sound operations.
- • Investigate transactions and activities to confirm legality and financial solvency.
- • Review and interpret new or revised laws, regulations, and guidance to assess impact on supervised entities.
- • Plan and review assigned examination work; mentor junior examiners.
- • Recommend corrective actions or enforcement to address noncompliance and risk.
- • Examine minutes of boards, shareholders, and committees to validate authorities and governance.
- • Prepare examination reports, schedules, and workpapers documenting findings and solutions.
- • Analyze balance sheets, income and expense accounts, capital, liquidity, and loan files to verify assets and liabilities.
- • Review internal and external audit reports to gauge scope and identify control weaknesses.
- • Establish or update procedures to align with new regulations and direct their implementation within the exam program.
- • Meet with directors, trustees, senior management, counsel, auditors, and consultants to gather information and discuss results.
- • Verify cash reserves, collateral, and securities holdings to test internal controls.
- • Review applications for mergers, acquisitions, new charters, Federal Reserve membership, or securities registrations and recommend disposition.
- • Resolve problems affecting overall financial integrity, including investment portfolios, earnings, capital adequacy, and troubled credits.
- • Evaluate IT and data processing controls to coordinate systems with examination procedures.
- • Confer with officials in banking, securities, and real estate to exchange views and discuss issues or pending cases.
- • Provide regulatory compliance training to institutional staff.
Related specializations
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Available on paid plans only
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Financial Services
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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This site includes information from O*NET by the U.S. Department of Labor, Employment and Training Administration (USDOL/ETA), used under the CC BY 4.0 license. Career Clutch has modified some of this information for student readability. USDOL/ETA has not approved, endorsed, or tested these modifications. O*NET® is a trademark of USDOL/ETA.
Last reviewed: Jan 2026
