Compliance Examiner 1-4

State of Louisiana • Statewide, LA

6d • Onsite

About The Position

The Office of Financial Institutions is hiring Compliance Examiners for offices in Baton Rouge, New Orleans, Lafayette, Alexandria, Shreveport, and Monroe. Examiners may review banks, savings and loans, credit unions, holding companies, trust companies, securities firms, lenders, mortgage companies, pawnbrokers, money transmitters, virtual currency businesses, and other regulated entities. Examinations assess compliance with laws and regulations as well as safety and soundness. Procedures may analyze capital, asset quality, earnings, liquidity, and sensitivity to market risk, and may review management oversight, information technology, and compliance with federal requirements such as the Bank Secrecy Act and applicable state requirements.

The role may involve on-site examinations of depository and non-depository financial institutions and statewide examinations of securities broker-dealers and investment advisers. The position may be filled at the Compliance Examiner 1–4 level for depository work, 1–3 for non-depository work, or 1–2 for securities work. Appointment is probational. Salary depends on qualifications and experience within the established pay range. Prospective new hires must pass drug screening, provide a credit history report with a FICO score, and undergo fingerprinting for a criminal background check. Employment eligibility will also be verified through E-Verify.

Requirements

• Meet one of the stated minimum qualification pathways: three years of experience in accounting, auditing, banking, compliance management, financial operations, or insurance; or six years of full-time experience in any field plus specified accounting and related coursework; or a bachelor’s degree with specified coursework; or a qualifying bachelor’s or advanced degree; or a CPA, Certified Financial Examiner, Certified Fraud Examiner, or Certified Internal Auditor credential.
• For the six-year experience pathway, every 30 semester hours from an accredited college or university may substitute for one year of experience, up to 120 semester hours and four years.
• Have good communication, analytical, reasoning, and comprehension skills, along with good judgment.
• Be a fast learner able to understand multiple areas of regulation and/or safety and soundness.
• Complete the education and work experience sections of the application; resumes are not accepted in lieu of those sections.
• Prospective new hires must pass a drug screening, provide a credit history report with a FICO score, and be fingerprinted for a criminal background check.

Responsibilities

• Conduct on-site field examinations, including specialized and complex or problematic examinations, of banks, savings and loans, savings banks, and credit unions.
• Conduct on-site examinations of non-depository financial services providers, including licensed lenders, insurance premium finance companies, pawnshops, residential mortgage lenders, notification filers, and bond-for-deed escrow agents, to assess compliance with state and federal laws, rules, and regulations.
• Conduct statewide examinations of securities broker-dealers and investment advisers, independently or with examiners from the New York Stock Exchange, the National Association of Securities Dealers, and the U.S. Securities and Exchange Commission.
• Review regulated entities for compliance, safety, and soundness, potentially analyzing capital, asset quality, earnings, liquidity, market risk, management oversight, and information technology.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level