Regulatory Financial Examiner - Hybrid Hartford

NEAFP; Hartford (CT); Hybrid; USD 70,000 - 100,000; Full time

Job summary

New England AFP is seeking a Financial Examiner to conduct examinations of greater than average difficulty for the financial entities regulated by the Financial Institution Division in Hartford, CT. The role emphasizes thorough analysis, reporting, and regulatory compliance across banks, credit unions, and similar institutions.

The position requires a careful reviewer of financial documents and the ability to communicate findings to stakeholders.

Responsibilities

• Conduct examinations of greater than average difficulty and complexity of the financial entities regulated by the Financial Institution Division at the Department of Banking.
• Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities as necessary.
• Review, analyze, and assess financial and operational documentation, including bank and financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information, and other records.
• Investigate, research, and document apparent violations of applicable laws and contraventions of policy.
• Interact and communicate with both industry contacts as well as internal staff to review issues and findings.
• Write reports and communicate report findings to stakeholders in examination and application processing.
• Collect and analyze information relating to the application review process, including financial and operational documentation, compliance with statutes, etc.
• Analyze and assess financial institutions’ compliance with federal and state laws and regulations.
• Learn and utilize the e-license system and the other federal agency examination systems used in conducting examinations.

Job description

The State of Connecticut Department of Banking (DOB) is now accepting applications for a Financial Examiner opportunity in Hartford, CT!

RESPONSIBILITIES

The Financial Examiner position will conduct examinations of greater than average difficulty and complexity of the financial entities regulated by the Financial Institution Division at the Department of Banking.

The selected candidate will:

• Conduct or assist in inquiries, investigations, and/or examinations of domestic (federally insured banks, uninsured banks, trust banks) and international banks, credit unions, and other financial entities;
• Investigate consumer complaints regarding complex or specialized issues in the conduct and delivery of services by regulated entities as necessary;
• Review, analyze, and assess financial and operational documentation, including bank and financial statements and reports, loan files, investments, management policies, consumer complaints, risk management programs, advertising, licensing information, and other records;
• Investigate, research, and document apparent violations of applicable laws and contraventions of policy;
• Interact and communicate with both industry contacts as well as internal staff to review issues and findings;
• Write reports and communicate report findings to stakeholders in examination and application processing;
• Collect and analyze information relating to the application review process, including financial and operational documentation, compliance with statutes, etc.;
• Analyze and assess financial institutions’ compliance with federal and state laws and regulations;
• Learn and utilize the e-license system and the other federal agency examination systems used in conducting examinations.

MORE INFO

• Monday – Friday
• Full-time (40 hours per week)
• First shift
• Location:280 Trumbull Street in Hartford, CT
• A hybrid schedule (combination of in-office and telework) will be available based on business needs in accordance with theTelework Policy.

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