Financial Examiner 1/2 (PCN 083099)

The North Carolina Department of Agriculture and Consumer Services is seeking Financial Examiners 1/2 to join the Division of Banking and Securities. The role involves conducting examinations of financial institutions and providing educational outreach on financial topics to promote consumer financial literacy.

Responsibilities

• Learn examination concepts and skills through on-the-job training and formal classroom instruction offered by regulatory agencies/organizations
• Under direct supervision, assist in conducting examinations of various types of financial institutions including, but not limited to banks, trust companies, credit unions, mortgage companies, money transmitters and loan entities; periodically conduct investigations regarding alleged violations, respond to inquiries from the public
• Provide educational outreach on a variety of financial topics to educate Alaskan consumers on financial literacy
• Independently serve as an examiner-in-charge on less complex examinations and assist with complex examinations in a team environment
• Oversee an FE 1 during the examination process

Skills

• Any combination of education and/or experience that provides the applicant with competencies in Analytical Thinking/Problem Solving: uses a logical, systematic, sequential approach to address problems or opportunities or manage a situation by drawing on one's knowledge and experience base and calling on other references and resources as necessary
• Auditing: Knowledge of generally accepted auditing standards and procedures for conducting financial and compliance, economy and efficiency, and program audits
• Computer Skills: Uses computers, software applications, databases, and automated systems to accomplish work
• Oral and Written Communication: Expresses information (for example, ideas or facts) to individuals or groups effectively, taking into account the audience and nature of the information (for example, technical, sensitive, controversial); makes clear and convincing oral and written presentations; listens to others, attends to nonverbal cues, and responds appropriately
• Principles of Finance: Knowledge of the basic principles, practices, and methods of financial management to include requisitions, apportionments, allotments, investments, fiscal management, activity reporting, and fiscal year guidelines
• Equivalent to those typically gained by: Any combination of preparatory post-secondary education and/or experience in conducting financial accounting; reviewing, investigating, and/or processing licensure applications; or reviewing financial statements and/or making safety and soundness determinations
• Successful completion of securities examinations: Series 7, Series 63, or Series 65; Securities Industry Essentials Exam (SIE), or professional designation as a Certified Financial Planner, Chartered Financial Analyst, Chartered Investment Counselor, Certified Investment Analyst, Personal Financial Consultant, or holds or has held a license or registration as a Mortgage Loan Originator
• Any combination of education and/or experience that provides the applicant with competencies in Analytical Thinking/Problem Solving: Uses a logical, systematic, sequential approach to address problems or opportunities or manage a situation by drawing on one's knowledge and experience base and calling on other references and resources as necessary
• Financial Examination: Knowledge of the laws, regulations, principles, and practices that govern financial institutions (depository and non-depository) handling financial services transactions; analyzes financial statements, lending or loan portfolios, client/customer files, investment portfolios, and/or management policies and operations; examine for safety and soundness, and/or compliance; identifies any discrepancies and determines necessary corrective actions
• Oral and Written Communication: Expresses information (for example, ideas or facts) to individuals or groups effectively, taking into account the audience and nature of the information (for example, technical, sensitive, controversial); makes clear and convincing oral and written presentations; listens to others, attends to nonverbal cues, and responds appropriately
• Principles of Finance: Knowledge of the basic principles, practices, and methods of financial management to include requisitions, apportionments, allotments, investments, fiscal management, activity reporting, and fiscal year guidelines
• Technical Competence: Uses knowledge that is acquired through formal training or extensive on-the-job experience to perform one's job; works with, understands, and evaluates technical information related to the job; advises others on technical issues
• Equivalent to those typically gained by: Any combination of preparatory post-secondary education and/or progressively responsible experience in reviewing licensure, conducting examinations, enforcements, and/or investigations or conducting other programmatic activities for securities, depository institutions, and/or non-depository financial services entities
• Professional designation as a Certified Financial Planner, Chartered Financial Analyst, Chartered Investment Counselor, Certified Investment Analyst, Personal Financial Consultant, or holds or has held a license or registration as a Mortgage Loan Originator

Benefits

• This position may be eligible for telework, an alternative work schedule, and travel opportunities.
• The Division offers a comprehensive employee benefits package that includes health insurance, retirement, and paid holidays.
• The Division has a professional and dedicated staff who work well independently, and as part of a team. The Division offers training opportunities to enhance knowledge of changing rules and regulations governing regulated entities.
• Health insurance, which includes employer contributions toward medical/vision/dental
• Employer paid Basic Life insurance with additional coverage available (amount depends on Bargaining Unit)
• Group-based insurance premiums for + Term life (employee, spouse or qualified same sex partner, and dependents) + Long-term and short-term disability + Accidental Death and Dismemberment + Long-term care (self and eligible family members) + Supplemental Survivor Benefits
• Employee-funded flexible spending accounts for tax savings on eligible health care or dependent care expenses
• Membership in the Public Employees Retirement System (PERS)/Teachers' Retirement System (TRS)
• Matching employer contribution into a defined contribution program (new employees)
• Employer contribution into a defined benefit or defined contribution program (current employees)
• Contributions to the Alaska Supplemental Annuity Plan in lieu of contributions to Social Security
• Option to enroll in the Alaska Deferred Compensation Program
• Personal leave with an accrual rate increase based on time served
• Twelve (12)