Compliance Examiner Manager
Compliance Examiner Manager
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$ 5375 - 10546
1 Vacancy
Job Description
Supplemental Information
The Office of Financial Institutions has one Compliance Examiner District Office Manager vacancy located in the Lafayette District Depository Section.
No Civil Service test score is required in order to be considered for this vacancy.
Applicants are strongly encouraged to provide a copy of their transcript prior to the closing date of this posting.
Transcripts can be attached to the application faxed toor emailed to. If faxing or emailing your transcripts please indicate the Job Title and Job Number (Compliance Examiner Manager OFI208051YK) to which you are applying.
Candidates may be required to submit official transcript(s) prior to being interviewed. We must receive your official transcript directly from the university or their designated provider such as EScript or Transcripts Network.
All prospective new hires are required to pass a drug screening provide a credit history report with a FICO score and be fingerprinted for a criminal background check.
To apply for this vacancy click on the Apply link above and complete an electronic application which can be used for this vacancy as well as future opportunities.
Resumes will not be accepted in lieu of a completed application. You MUST include all relevant education and experience on your official State application.
DISQUALIFICATION:
While we encourage all interested applicants to apply please be aware that there are various reasons that your application may be disqualified from consideration including but not limited to:
Failure to fully complete the education and work experience sections of the application (please note for the education section that the semester area refers to
the# of credit HOURS and not the # of semesters you completed).
Submission of a resume and/or SF10 application in lieu of the online application.
Failure to list complete license information (If applicable to the job position).
Failure to submit an equivalency evaluation statement for an international degree by the closing of this announcement.
Louisiana is a State as a Model Employer for People with Disabilities.
For further information about this posting please contact: YaVonya Kelley Human Resources Specialist at or.Minimum Qualifications
MINIMUM QUALIFICATIONS:
One year of the required experience for the following minimum qualifications must have been at the supervisory level or above:
Seven years of experience in accounting auditing banking compliance management financial operations or insurance; OR
Six years of fulltime experience in any field plus nine semester hours in accounting and an additional fifteen semester hours in accounting economics finance business law insurance statistics financial analysis or money and banking plus four years of experience in accounting auditing banking compliance management financial operations or insurance; OR
A bachelors degree with nine semester hours in accounting and an additional fifteen semester hours in accounting economics finance business law insurance statistics financial analysis or money and banking plus four years of experience in accounting auditing banking compliance management financial operations or insurance; OR
A bachelors degree in accounting auditing finance business administration management economics or statistics plus four years of experience in accounting auditing banking compliance management financial operations or insurance; OR
An advanced degree in accounting auditing finance business or public administration management economics quantitative methods or statistics plus three years of experience in accounting auditing banking compliance management financial operations or insurance; OR
A Certified Public Accountant (CPA) license Certified Financial Examiner (CFE) Certified Fraud Examiner (CFE) or Certified Internal Auditor (CIA) designation plus two years of experience in accounting auditing banking compliance management financial operations or insurance.Job Concepts
Function of Work:
To direct the review of examination reports; ensure compliance with charters and state and federal laws; examine the accounting systems and financial status; and ensure financial solvency and fair consumer practices.
Level of Work:
Manager.
Supervision Received:
Broad from Compliance Examiner Chief Examiner.
Supervision Exercised:
Direct over Compliance Examiners 14 equivalent level staff and Compliance Examiner Assistant Manager.
Location of Work:
Primarily used by the Department of Insurance and Office of Financial Institutions (OFI).
Job Distinctions:
Differs from Compliance Examiner Deputy Chief by directing examinations for a region and by absence of responsibility for statewide operations.
Differs from the Compliance Examiner Assistant Manager by reporting relationship and management responsibility over a region.Examples of Work
EXAMPLES BELOW ARE A BRIEF SAMPLE OF COMMON DUTIES ASSOCIATED WITH THIS JOB TITLE. NOT ALL POSSIBLE TASKS ARE INCLUDED.
Reviews various reports of examination submitted by compliance examiners to ensure the following: valid conclusions are drawn regarding the overall condition and the safety and soundness of the institution; standard examination procedures are followed; report schedules are uniformly completed; and state and federal laws are appropriately cited and uniformly enforced.
Confers and corresponds with bankers attorneys CPAs and the public on rules regulations and laws.
Plans organizes assigns and directs the examinations to be conducted within the district; coordinates the work assignments of examiners; develops and schedules timetables for the completion of examinations.
Performs or delegates the responsibility for conducting periodic visitations either formally or informally with executive officers from institutions within the region to discuss and resolve problems review enforcement actions discuss economic conditions and trends discuss how the institutions are going to adjust to these trends and discuss other examinations or industry related issues.
Attends examination exit meetings with institutions executive personnel and boards of directors to supervise the presentation of findings and recommendations by the examinerincharge.
Reviews accounting systems of the most complex specialized or problematic insurance companies to determine compliance with state law regulations directives and guidelines.
Examines records of liabilities such as claims dividends premium deposits taxes or loans and reviews stockholders equity to determine accuracy of data in financial statements.
Required Experience:
Manager
Employment Type
Full Time
