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COMPLIANCE EXAMINATION SPV

Class Title: COMPLIANCE EXAMINATION SPV
Bargaining Unit: Use for all Job Titles
Class Code: 075266
Education and Experience:  Graduation from an accredited college or university with a bachelor’s degree in finance, accounting, or business related field with a minimum of nine (9) semester hours accounting and/or finance and experience equivalent to five years of full-time professional non-depository examination work

Other Requirements:

Necessary Special Qualifications:  A valid motor vehicle operator license may be required.
 
Examination Method:  Education and Experience,100%, for Preferred Service positions.

Job Overview:

Summary:  Under general supervision, is responsible for non-depository financial institutions supervisory work of considerable difficulty; and performs related work as required.
Distinguishing Features:  An employee in this class supervises staff conducting examinations of non-depository financial institutions in an assigned region in the state or license type. This class differs from Loan Examiner 4 in that the incumbent of the latter does not have regional supervisory responsibilities. This class reports to and differs from FI Safety & Soundness Manager in that an incumbent of the latter has divisional supervisory responsibilities.

Work Activities:

Updating and Using Relevant Knowledge:
  1. Maintains up-to-date knowledge of non-depository 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. 
Making Decisions and Solving Problems:
  1. Consults with direct reports, licensees, other department management to resolve problems and answer questions raised as part of the examination process.
Interpreting the Meaning of Information for Others:
  1. Explains regulatory statutes, guidelines, policies and procedures for internal and external customers to determine applicability to the division’s regulatory responsibilities and seeks guidance/forwards questions to upper management as needed to ensure consistency or for additional clarification. 
Coaching and Developing Others:
  1. Provides coaching and feedback to improve employee performance and development and completes all required supporting forms and documents as part of the performance management process.
  2. Actively solicits and maintains open door availability to staff.
Provide Consultation and Advice to Others:
  1. Provides advice and answers questions to staff as needed. 
Establishing and Maintaining Interpersonal Relationships:
  1. Works collectively with division management, licensing staff and direct reports to ensure the examinations are conducted timely and in compliance with established policy, procedure, rules, statutes and laws to ensure that all division regulatory responsibilities are completed/processed as required.  
Judging the Qualities of Things, Services, or People:
  1. Ensures the accuracy of the worksheets that were completed during the examination process and determines if all aspects of the examination were appropriately conducted in compliance with policy, procedure and practice.
  2. Ensures that all identified violations are appropriately supported with verifiable documentation and that the examination report accurately reflects the findings/violations. 
Evaluating Information to Determine Compliance with Standards:
  1. Reviews examination reports to ensure that all facets of the examination have been completed, all supporting documentation is relevant, all required reports/information as required by policy and procedure is included with the examination, all worksheets are accurately and completely prepared and included with the examination work papers.
  2. Conducts examinations of non-depository institutions to ensure compliance with all state and federal laws, policies, rules and procedures.
  3. Audits and approves travel claims, travel authorizations and timesheets to ensure compliance with state and department policy.
Processing Information:
  1. Reviews all loan documents to ensure compliance with state and federal laws, rules, statues, and policies.
  2. Compiles all examiner documentation and information to utilize in facilitating the monthly examiner development meetings.
  3. Verifies the accuracy of the calculations for all license types.
  4. Verifies information in the RBS/FIRST billing report to ensure that all examinations are accurately processed for billing in comparison to the exam reports received and examiner itineraries submitted.
  5. Submits a monthly attestment to Internal Audit verifying the locations visited on the itinerary in comparison to the locations disclosed on the mileage logs.
Training and Teaching Others:
  1. Provides on-the-job training to direct reports and individualizes training as needed to ensure direct reports learn all facets and requirements of the examination process.
  2. Provides direct reports with information and updates pertaining to changes in legislation, statutes, rules, policies and procedures to ensure they have up-to-date information related to the examination process.
  3. Ensures all direct reports have the resources available to meet their required CSBS training hour requirements yearly.
Thinking Creatively:
  1. Works collectively with other division supervisors and/or leadership to identify/design/develop policies, procedures and practices for the Compliance division’s examination team as assigned/approved by the manager.
Communicating with Supervisors, Peers, or Subordinates:
  1. Communicates with and addresses performance issues with subordinate staff as needed.
  2. Communicates on a daily basis with supervisor, co-workers and direct reports to convey work related information and coordinate work activities.
Guiding, Directing, and Motivating Subordinates:
  1. Provides performance feedback to subordinate staff to facilitate employee development.
  2. Directs staff to complete department initiatives within established goals.
  3. Provides motivation to staff to ensure continued employee engagement. 
Resolving Conflicts and Negotiating with Others:
  1. Investigates complaints submitted by regulated entities.
  2. Investigates and works with direct reports to facilitate conflict resolution. 
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. 
Monitor Processes, Materials, or Surroundings:
  1. Reviews the examination report and supporting documentation to verify compliance with written or established policies/procedures.
  2. Reviews itineraries to verify the efficiency of the examination schedules and verify that the examinations are completed in compliance with established policies/procedures.
  3. Monitors the mileage logs to ensure examiners are being good stewards of the state’s property and funding, compliance with the leased car policies, examiners conduct examinations as scheduled, and service and maintenance for the leased cars is being carried out as prescribed. 
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.
Monitoring and Controlling Resources:
  1. Monitors processes, work time, supplies, equipment, etc. to ensure direct reports are being good stewards of state resources and funding. 
Scheduling Work and Activities:
  1. Provides “Failed to Renew” licensee report to examination staff to prompt examinations of potential unlicensed activity and follow-ups with staff to ensure that the examinations are conducted within established timeframes.
  2. Assigns staff to conduct examinations based on complaints received from the Consumer Resources Division and ensures the examinations are conducted in compliance with policy and procedure.
  3. Prepares and submits a weekly itinerary to the manager in accordance with established policy and procedure. 
Developing Objectives and Strategies:
  1. Works collectively with other supervisory staff and management to evaluate caseloads to strategically assign staff to conduct examinations based on industry fluctuations and changes. 
Getting Information:
  1. Receives weekly examiner itineraries via e-mail to update caseloads and ensure examination frequency is in compliance with division practice, cross-check to ensure examinations are completed, cross-check to ensure mileage logs are accurate and Edison time is accurately keyed.
  2. Receives completed examination report from direct reports on a daily basis via e-mail to ensure examinations are completed and to verify the examiners’ work schedules.
  3. Receives completed mileage logs, gas receipts, maintenance receipts and other information as needed to verify the accuracy of the records in compliance with the leased vehicle policy.
  4. Requests loan logs, insurance claim logs, files, financial statements, repossession logs, FinCen, Anti-Money Laundering information and other records as needed to conduct the examination.
Analyzing Data or Information:
  1. Performs bi-monthly random mileage audits of mileage logs to ensure variance levels are within acceptable levels.
Communicating with Persons Outside Organization:
  1. Establishes and maintains a variety of professional contacts with non-depository institution executives, managers, employees and other state, federal and professional entities.
Operating Vehicles, Mechanized Devices, or Equipment:
  1. Drives personal or state leased vehicle for designated work assignments.
  2. Travels to assigned examination sites, including the potential for overnight travel, to participate in training/meetings and/or conduct examinations.
  3. Travels out-of-state to conduct assigned examinations and/or participate in training.
Organizing, Planning, and Prioritizing Work:
  1. Manages and prioritizes multiple work assignments to meet established deadlines.
Documenting/Recording Information:
  1. Maintains documentation of direct report examination review sheets in accordance with division policy and procedure.
  2. Maintains personnel documentation of direct reports to manage staff performance.
  3. Maintains documentation of direct reports weekly itineraries and mileage logs.
Performing Administrative Activities:
  1. Maintains supervision files to include information, documentation and data pertaining to the performance of direct reports as required to support performance evaluation ratings and coaching needs.
  2. Maintains files, itineraries, reports, information, etc. as required by policy and procedure.
  3. Maintains all electronic examination records in compliance with division policy and procedure.
  4. Serves as contact point and ensures all direct reports have needed supplies and equipment to carry out job responsibilities.
Identifying Objects, Actions, and Events:
  1. Enters examination dates to ensure the master caseload is maintained up-to-date and to ensure that examinations are completed in compliance with policy and practice.
Inspecting Equipment, Structures, or Material:
  1. Inspects the assigned state vehicles to verify that the vehicle is being appropriately maintained, no damage has occurred and that the examiner is complying with the policies pertaining to leased vehicles.
Performing General Physical Activities:
  1. Lifts and transports equipment and examination files/records to be utilized during the examination of non-depository institutions.

Competencies (KSA’s):

Knowledge:
  1. Knowledge of Administration and Management as it relates to non-depository examination
  2. Knowledge of Computer Software Applications including MS Word, Excel, Outlook
  3. Knowledge of Intermediate Accounting
  4. Basic knowledge of math and statistics
Skills:
  1. Technical business writing skills
  2. Time Management Skills
  3. Written Comprehension skills
  4. Written Expression skills
  5. Active learning skills
  6. Active listening skills
  7. Judgment and decision making skills
Abilities:
  1. Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
  2. Ability to perform complex mathematical computations
  3. Ability to monitor/assess performance of self, other individuals, or organizations to make improvements or take corrective action
  4. Ability to clearly communicate ideas, information and instructions
  5. Ability to provide instruction and direction to direct reports
  6. Ability to identify complex problems and reviewing related information to develop and evaluate options and implement solutions
  7. Ability to combine pieces of information to form conclusions
  8. Ability to motivate, develop and direct people as they work
  9. Ability to demonstrate finger dexterity to key data
  10. Ability to drive a motor vehicle to transport self and equipment to examination sites
  11. Ability to sit for extensive period of time and work at a computer
  12. Ability to maintain confidentiality of information
  13. Ability to adapt to varying work environments and locations on a day-to-day basis
  14. Ability to lift 40 plus pounds to transport records and equipment to examination site
  15. Ability to organize work for self and others
  16. Ability to travel in and out-of-state and stay out multiple nights if needed
  17. Ability to work independently and as part of a team
  18. Ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules
  19. Ability to identify correct mathematical methods or formulas in an analysis situation
  20. Ability to listen and understand information through spoken words and sentences
  21. Ability to communicate information when speaking to others to ensure understanding
  22. Ability to read, comprehend and apply deductive reasoning skills to laws, rules, statutes, policies, and regulations and demonstrate understanding in the examination process

Tools and Equipment Used:

  1. Computer
  2. Telephone/Cell Phone/Pager
  3. Motor Vehicle
  4. Printer/Copier/Scanner/Fax
  5. Financial Calculator

 

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