COMPLIANCE EXAMINATION SUPERVISOR - 08202025-69789

Job Information

LOCATION OF (1) POSITION(S) TO BE FILLED: DEPARTMENT OF FINANCIAL INSTITUTE, COMPLIANCE EXAMINATION GROUP THREE DIVISION, SHELBY COUNTY

A valid motor vehicle license is required.

This position has required meetings in Nashville

Qualifications

Education and Experience: Bachelor's degree from an accredited college or university with a major in Finance, Accounting, Economics, Business Administration or other related business degree with a minimum of nine (9) semester hours of accounting and/or finance. Experience equivalent to four years of full-time responsible professional non-depository financial institutions examining work with a federal or state agency. Two of the five years' experience must be in a supervisory or team lead role.

Substitution of Education for Experience: (1) Graduate course work credit received from an accredited college or university in any business, mathematics, statistics, actuarial science, or computer science, may substitute for experience on a month-for-month basis (e.g., 36 graduate hours in finance may substitute for one year of the required experience); or (2) possession of current certification in active status as a Certified Fraud Examiner as approved by the Association of Certified Fraud Examiners may substitute for the one year of required experience, to a maximum of one year. There is a maximum substitution of one year using either of the two clauses listed above.

Substitution of Experience for Education: Professional examining, accounting, or auditing of financial records and management practices, or related professional financial/insurance industry experience in risk or policy/procedure analysis may substitute for the required education on a year-for-year basis, to a maximum of four years.

Necessary Special Qualifications: Motor Vehicle License.

Overview

Under general supervision, is responsible for non-depository financial institutions supervisory work of considerable difficulty; and performs related work as required. 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.

Responsibilities

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.
2. Consults with direct reports, licensees, other department management to resolve problems and answer questions raised as part of the examination process.
3. 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. Ensures that all identified violations are appropriately supported with verifiable documentation and that the examination report accurately reflects the findings/violations.
4. 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. 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.
5. Communicates with and addresses performance issues with subordinate staff as needed. Communicates on a daily basis with supervisor, co-workers and direct reports to convey work related information and coordinate work activities.
6. Develops a culture of mutual trust, respect and cooperation among team members. Provides constructive feedback and assistance to department leadership, peers and subordinates as opportunities for improvement are identified.
7. Monitors processes, work time, supplies, equipment, etc. to ensure direct reports are being good stewards of state resources and funding.
8. Manages and prioritizes multiple work assignments to meet established deadlines.

Competencies (KSA's)

Competencies:
1. Decision Quality
2. Manages Complexity
3. Communicates Effectively
4. Customer Focus
5. Interpersonal Savvy

Knowledges:
1. Finance
2. Examination Report Writing
3. All Non-depository Industries
4. Accounting

Skills:
1. Reading Comprehension
2. Time Management
3. Problem Solving
4. Mathematical Reasoning
5. Presentation

Abilities:
1. Data Processing & Management
2. Review & Understand reports, policies, statutes
3. Business report writing & documentation of examination report
4. Oral Expression
5. Self-Development

Tools & Equipment

1. Laptop Computer
2. Basic Office Equipment
3. Motor Vehicle
4. Microsoft Office Suite
5. Financial Calculator

TN Driver Standards

State of Tennessee positions that may involve driving responsibilities require candidates to meet the following minimum driver qualifications:

• A valid driver's license
• For the past five years, the candidate's driver record must not have record of the following violations: driving under the influence (DUI), reckless driving, license suspension for moving violations, more than 4 moving violations.

Please include your Driver's License Information under the Licenses and Certifications section of your application.

**Agencies may allow an exception based on other factors.