13-2061.00 · Task explorer
Financial Examiners: reported tasks and exploration worksheet
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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This source lists 17 tasks, including 16 marked Core and 1 marked Supplemental. Labels and dates are retained below. Employers can combine or divide these responsibilities differently; explore the task itself before assuming it belongs in every version of the role.
Task source dates: 08/2020.
17 tasks shown
Core · Task 7324 · 08/2020 · Occupational Expert
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.
Core · Task 7317 · 08/2020 · Occupational Expert
Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
Core · Task 7319 · 08/2020 · Occupational Expert
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.
Core · Task 7327 · 08/2020 · Occupational Expert
Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
Core · Task 7314 · 08/2020 · Occupational Expert
Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
Core · Task 7320 · 08/2020 · Occupational Expert
Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities.
Core · Task 7316 · 08/2020 · Occupational Expert
Plan, supervise, and review work of assigned subordinates.
Core · Task 7321 · 08/2020 · Occupational Expert
Review audit reports of internal and external auditors to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.
Core · Task 7318 · 08/2020 · Occupational Expert
Examine the minutes of meetings of directors, stockholders, and committees to investigate the specific authority extended at various levels of management.
Core · Task 7322 · 08/2020 · Occupational Expert
Train other examiners in the financial examination process.
Core · Task 7323 · 08/2020 · Occupational Expert
Establish guidelines for procedures and policies that comply with new and revised regulations and direct their implementation.
Core · Task 7315 · 08/2020 · Occupational Expert
Review and analyze new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.
Core · Task 20190 · 08/2020 · Occupational Expert
Provide regulatory compliance training to employees.
Core · Task 7328 · 08/2020 · Occupational Expert
Evaluate data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures.
Core · Task 7326 · 08/2020 · Occupational Expert
Review applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.
Core · Task 7325 · 08/2020 · Occupational Expert
Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.
Supplemental · Task 7329 · 08/2020 · Occupational Expert
Confer with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases.
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Source and practice material
Occupational context uses the O*NET® 31.0 Database from the U.S. Department of Labor, Employment and Training Administration, under CC BY 4.0. View the occupation.
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