Consumer Compliance Examiner

Assistant and Associate Examiner Responsibilities

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  Assist in examinations and supervisory events of supervised institutions, focusing on the assessment of compliance risk and the adequacy of risk management systems and operational controls.

  
  
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  Complete reviews under the supervision of a more experienced examiner, until sufficient experience gained to work without supervision.

  
  
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  Draft, organize, and verify workpapers and related documents with guidance of more experienced examiners, until sufficient experience gained to work without supervision.

  
  
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  Assist in analyzing supervised institution's performance in complying with consumer compliance laws, regulations, and regulatory policies.

  
  
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  Communicate, describe, support, and discuss supervisory events' findings with management.

  
  
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  Respond to frequently changing regulatory requirements and industry issues with agility and adaptability.

  
  
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  Complete Federal Reserve System schools and training modules to progress to commissioned examiner status.

  
  
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  Safeguard equipment, sensitive data, and other information resources according to the SRC Information Security and Data Handling Handbook.

  
  

Associate Examiner, Additional Responsibilities

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  Lead and manage supervisory events of small, noncomplex supervised institutions, including determining scope, rating, resource needs, and work assignments of the examination team, under the supervision of a more experienced examiner.

  
  
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  Analyze supervised institution's performance in complying with consumer compliance laws, regulations, and regulatory policies and evaluate how effectively the institution manages its compliance risks.

  
  
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  Assess the bank's performance in meeting community credit needs under the CRA.

  
  

Examiner, Additional Responsibilities

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  Lead and manage consumer compliance and CRA supervisory events of more complicated and larger supervised institutions and communicate more complex examination findings.

  
  
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  Act as institution contact for a limited portfolio of small- to medium-sized, relatively non-complex institutions or serve as a subject matter expert in a key functional area.

  
  
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  Seek out and participate in opportunities to enhance skills, including assisting with Federal Reserve System or Reserve Bank special projects.

  
  
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  Provide training, work direction, and feedback to assisting examiners when acting as examiner-in-charge.