Bargaining Unit: Use for all Job Titles
Class Code: 075265
Education and Experience: Graduation from an accredited college or university with a bachelor’s degree in finance, accounting, banking or business related field and experience equivalent to five years of full-time professional bank examination work with a minimum of one year experience as a lead or supervisor of a bank examination team.
Qualifying full-time professional bank examining experience may be substituted for the required education on a year-for-year basis to a maximum of four years. Additional graduate coursework in accounting, finance or banking may be substituted for the required experience on a year-for-year basis to a maximum of one year, there being no substitution for the lead/supervisory experience.

Other Requirements:

Necessary Special Qualifications:  A valid motor vehicle operator’s license may be required.

Examination Method: Education and Experience, 100%, for Preferred Service positions. For Executive Service positions, Minimum Qualifications, Necessary Special Qualifications, and Examination Method are determined by the appointing authority.

Job Overview:

Summary: Under general direction, performs managerial examination and provides regulatory oversight responsibilities of considerable difficulty and analytical detail for a division and performs management administrative related work.
Distinguishing Features: An employee in this class, through subordinate supervisory staff and specialized examination staff, plans and manages examinations and provides regulatory oversight of banks; savings and loan associations; business and industrial development corporations; money transmitters; and trusts in an assigned division of the state.

Work Activities:

Analyzing Data or Information:
  1. Reviews and analyzes Bank, Trust, IT, BIDCO and Money Transmitter Reports of Examination and visitations submitted by Examiner-in-Charge to determine the accuracy of the safety and soundness reports.
  2. Analyze new bank applications and charter conversions to determine approval or denial recommendation and/or to provide feedback to applicant on approval requirements.
  3. Analyzes Bank, Trust, IT, BIDCO and Money Transmitter Reports of Examinations and visitations submitted by Examiner-in-Charge to determine appropriate regulatory responses. 
Judging the Quality of Things, Services or People:
  1. Conduct due diligence assessment of the management capabilities of financial institutions regulated or applied to be regulated by the Bank division.
  2. Conducts performance evaluations for assigned subordinates.
  3. Reviews due diligence assessment of the management capabilities of financial institutions regulated or applied to be regulated by the Bank division submitted by Examiner-in-Charge and/or federal regulator.
  4. Reviews performance evaluations conducted by assigned subordinates. 
Establishing and Maintain Interpersonal Relationships:
  1. Facilitates and work collectively with federal regulators and other banking industry entities to ensure a balance and consistent regulatory approach.
Getting Information:
  1. Reviews federal exam mandates to assist in scheduling the examinations and visitations.
  2. Communicates with federal regulators pertaining to all facets of regulatory responsibilities.
  3. Reviews off-site monitoring bank and trust reports to assess the condition of the institution and to assist with scheduling.
  4. Reviews correspondence, progress reports, published financials and other documentation to determine the condition of the institutions.
  5. Communicates with bank officials and other bank representatives.
  6. Communicates with examiners and central office personnel.
Resolving Conflicts and Negotiating with Others:
  1. Resolves conflicts with all regulatory stakeholders.
  2. Investigates and reports grievances and personnel issues to facilitate resolution.
  3. Assists Consumer Resources Division with resolving complaints.
Interpreting the Meaning of Information for Others:
  1. Interprets regulatory findings to the institution management and Board of Directors to ensure understanding of the examination findings and provide guidance.
  2. Interprets regulatory statutes, guidelines policies, and procedures for internal and external customers to determine applicability to the department’s regulatory responsibilities.
Updating and Using Relevant Knowledge:
  1. Maintains up-to-date knowledge of bank regulatory processes, statutes, policies, procedures, regulations and industry knowledge to effectively regulate the institutions and to serve as an information resource to internal and external customers.
Coordinating the Work and Activities of Others:
  1. Coordinates the operational activities of assigned division staff to ensure continuing operations. 
Developing and Building Teams:
  1. Develops a culture of mutual trust, respect and cooperation among team members.
  2. Provides constructive feedback and assistance to department leadership, peers and subordinates as opportunities for improvement are identified.
  3. Provides leadership by example.
Staffing Organizational Units:
  1. Interviews and makes recommendations for hire, promotion, demotion and transfer to ensure appropriate staffing is maintained within the division to carry out regulatory responsibilities.
Provides Consultation and Advice to Others:
  1. Serves s departmental subject matter expert pertaining to the regulatory responsibilities of the division.
  2. Provides advice and answers questions to staff as needed.
Processing Information:
  1. Monitors Report of Examination turnaround time to ensure compliance with departmental goals.
  2. Compiles and prepares ad-hoc reports as requested by department leadership. 
Developing Objectives and Strategies:
  1. Develops objectives for assigned field office to ensure compliance with division strategic plans.
Scheduling Work Activities:
  1. Coordinates with federal regulators to comply with statutory requirements and other mandates to develop examination schedules.
  2. Develops and submit quarterly examination schedule to the Chief Administrator to ensure compliance with statutory requirement and other mandates.
  3. Develops detail expiations schedule ten days prior to the start of the quarter and submit to the Chief administrator, federal regulators and exam staff to ensure that the exams are conducted timely and appropriately staffed.
  4. Develops weekly itineraries for examination staff and submit to the Chief Administrator to ensure accountability and confirm implementation of the exam.
  5. Develops final itinerary for examination staff by Tuesday of the following week for auditing purposes and submit to the Chief Administrator.
Communicating with Supervisors, Peers, or Subordinates:
  1. Communicate and address performance issues with subordinated staff as needed.
  2. Communicate on a daily basis with supervisors, co-workers and subordinates to convey work related information and coordinate work activities.
Guiding, Directing, and Motivating Subordinates:
  1. Provide performance feedback to subordinate staff to facilitate employee development.
  2. Direct staff to complete department initiatives within established goals.
  3. Provide motivation to staff to ensure continued employee engagement.
Evaluating Information to Determine Compliance with Standards:
  1. Evaluates bank, trust, IT, BIDCO and money transmitter reports of examinations and visitations submitted by Examiner-In-Charge to determine compliance with the federal and state regulatory standards.
  2. Evaluates the results of the examination work paper audit to ensure compliance with departmental policy.
  3. Audit and approve travel claims, travel authorizations and timesheets to ensure compliance with state and department policy.
  4. Audits vehicle reports to ensure compliance with state and department policy.
Interacting with Computers:
  1. Utilizes word processing, databases, spreadsheets, search engines, regulatory and inventory software to maintain up to date information systems and generate required reports.
  2. Inputs and extracts data into and from assigned computer programs to facilitate the execution of other assigned tasks.
Training and Teaching Others:
  1. Evaluating and identifying the training needs of the examination staff to facilitate their progress.
  2. Provides as required training to subordinate staff.
Coaching and Developing Others:
  1. Provide coaching and feedback to improve employee performance and development.
  2. Actively solicit and maintain open door availability to staff.
Thinking Creatively:
  1. Designs and develops policies, procedures and workflow tracking mechanisms to ensure effective operations within the bank division.
Organizing, Planning, and Prioritizing Work:
  1. Ensures all facets of the assignments are appropriately staffed and adjust daily as needed to meet regulatory responsibilities.
  2. Coordinates staff meetings to share information from the division manager’s meeting and department leadership.
  3. Solicit input from staff for quarterly manager’s meetings related to examinations, operations, personnel issues, policies and procedures.
Monitor Processes, materials, or Surroundings:
  1. Monitor performance of assigned subordinates to ensure accurate performance evaluation.
  2. Monitors office environment to ensure safety compliance.
  3. Serves as point of contact with property lessors and maintenance vendors to ensure office needs are met.
  4. Oversee office and maintenance of equipment to ensure correct operation.
Making Decisions and Solving Problems:
  1. Makes daily decisions related to basic personnel and office management to ensure ongoing operations and the achievement of departmental goals.
  2. Approves or denies leave requests to ensure proper staffing.
  3. Determines regulatory school training needs.
Documenting/Recording Information:
  1. Maintains personnel documentation of direct and indirect reports to manage staff performance.
  2. Maintains documentation of examination work papers.
  3. Records and maintains minutes of all staff meetings and division manager meetings to ensure proper documentation is maintained and follow-up items are carried out.
  4. Maintains documentation of examination and scheduling files.
  5. Maintains documentation of office supplies and maintenance receipts.
Performing Administrative Activities:
  1. Maintain electronic and hard copy files in compliance with department’s policies.
Inspecting Equipment, Structures, or Material:
  1. Inspects state issued vehicles and submits required reports to ensure proper maintenance.
  2. Conduct monthly office inspection for TOSHA and other safety requirements and submit a report to Human Resources.
  3. Conducts as-needed inspection of office and network equipment.
Operating Vehicles, Mechanized Devices, or Equipment:
  1. Drives personal or state motor vehicle for designated work assignments.
Monitoring and Controlling Resources:
  1. Monitor and verify field office equipment and supply inventory to ensure compliance with department auditing and inventory requirements.  

Competencies (KSA’s):

  1. Intermediate knowledge of administration and management as it relates to bank examinations
  2. Intermediate knowledge of economics and bank financial accounting
  3. Basic knowledge of communications as it relates to making formal presentations
  4. Intermediate knowledge of banking laws and regulations
  5. Intermediate knowledge of effective business writing principles
  6. Advanced knowledge of bank examination process
  7. Intermediate knowledge of financial mathematics
  8. Basic knowledge of personnel management principles and best practices  
  1. Critical thinking skills
  2. Active learning skills
  3. Reading comprehension skills
  4. Active listening skills
  5. Financial mathematical skills
  6. Personnel monitoring skills
  7. Process monitoring skills
  8. Technical business writing skills
  9. Instructing skills
  10. Coordination skills
  11. Negotiation skills
  12. Persuasion social skills
  13. Service orientation social skills
  14. Complex problem solving skills
  15. Judgment and decision making skills
  16. Systems evaluation skills
  17. Systems analysis skills
  18. Management of personnel resources skills
  19. Time management skills   
  1. Deductive reasoning abilities
  2. Oral expression abilities
  3. Mathematical reasoning abilities
  4. Oral comprehension abilities
  5. Written comprehension abilities
  6. Number facility abilities
  7. Problem sensitivity abilities
  8. Written expression abilities
  9. Finger dexterity abilities
  10. Speech clarity abilities
  11. Speech recognition abilities
  12. Ability to maintain confidentiality

Tools and Equipment Used:

  1. Laptop Computer
  2. Financial Calculator
  3. Automobile
  4. Telephone
  5. Fax Machine
  6. Printer
  7. Copier


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