Assessment Template For Financial Examiners

Enforce or ensure compliance with laws and regulations governing financial and securities institutions and financial and real estate transactions. May examine, verify, or authenticate records.
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Popular Job Roles
Bank ExaminerBank Secrecy Act Anti-Money Laundering Officer (BSA/AML Officer)Community Reinvestment Act Officer (CRA Officer)Compliance AnalystCompliance OfficerCompliance SpecialistCredit Union ExaminerCredit Union Field ExaminerExamining OfficerInternal Auditor

Occupation-Specific

Technology Skills
Data base user interface and query software
Questions25
Time Limit25 min

Tasks

  • Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants, and consultants to gather information and discuss findings.
  • Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
  • Prepare reports, exhibits, and other supporting schedules that detail an institution's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions.
  • Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
  • Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.

Technology Skills

Data base user interface and query software

Microsoft Access, Structured query language SQL

Presentation software

Microsoft PowerPoint

Financial analysis software

ACL Analytics, Financial transaction analysis software, General Examination System GENESYS, PricewaterhouseCoopers TeamMate

Compliance software

NILS INSource, ODEN Insurance Services State Rules & Regulations, Oversight Insights On Demand, System for Electronic Rate and Form Filing SERFF

Project management software

Investigation management software, Microsoft Project

Worker Requirements

Technology Skills
Data base user interface and query software
Questions25
Time Limit25 min
Skills
Critical Thinking
Questions20
Time Limit25 min
Knowledge
English Language
Questions30
Time Limit20 min

Skills

Critical Thinking

Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.

Reading Comprehension

Understanding written sentences and paragraphs in work-related documents.

Active Listening

Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.

Speaking

Talking to others to convey information effectively.

Writing

Communicating effectively in writing as appropriate for the needs of the audience.

Knowledge

English Language

Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.

Economics and Accounting

Knowledge of economic and accounting principles and practices, the financial markets, banking, and the analysis and reporting of financial data.

Law and Government

Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.

Mathematics

Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.

Administration and Management

Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.

Worker Characteristics

Technology Skills
Data base user interface and query software
Questions25
Time Limit25 min
Skills
Critical Thinking
Questions20
Time Limit25 min
Knowledge
English Language
Questions30
Time Limit20 min
Abilities
Written Comprehension
Questions25
Time Limit25 min
Interests
Enterprising
Questions30
Time Limit20 min
Work Values
Independence
Questions20
Time Limit20 min
Work Styles
Analytical Thinking
Questions30
Time Limit20 min

Abilities

Written Comprehension

The ability to read and understand information and ideas presented in writing.

Deductive Reasoning

The ability to apply general rules to specific problems to produce answers that make sense.

Inductive Reasoning

The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).

Oral Expression

The ability to communicate information and ideas in speaking so others will understand.

Near Vision

The ability to see details at close range (within a few feet of the observer).

Interests

Enterprising

Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.

Conventional

Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.

Work Values

Independence

Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.

Relationships

Occupations that satisfy this work value allow employees to provide service to others and work with co-workers in a friendly non-competitive environment. Corresponding needs are Co-workers, Moral Values and Social Service.

Achievement

Occupations that satisfy this work value are results oriented and allow employees to use their strongest abilities, giving them a feeling of accomplishment. Corresponding needs are Ability Utilization and Achievement.

Work Styles

Analytical Thinking

Job requires analyzing information and using logic to address work-related issues and problems.

Integrity

Job requires being honest and ethical.

Attention to Detail

Job requires being careful about detail and thorough in completing work tasks.

Cooperation

Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude.

Dependability

Job requires being reliable, responsible, and dependable, and fulfilling obligations.

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