05/01/2013 03302

NON-DEPOSITORY FINANCIAL INSTITUTIONS REGIONAL OFFICE MANAGER

DEFINITION: This is professional work in directing a regional program for the examination of non-depository financial institutions regulated by the Department of Banking and Securities.

An employee in this job is responsible for planning, coordinating and managing examinations of non-depository financial institutions including, but not limited to, mortgage bankers and brokers, check cashers, pawn brokers, installment sellers, money transmitters, sales finance companies, debt management companies and consumer discount companies, in an assigned region for compliance with laws, regulations and sound management practices. Work includes scheduling examinations, directing staff in the conduct of routine and risk-based examinations and targeted investigations, determining the Examiner-in-Charge and other assignments for examinations or investigations and serving as the technical expert for all examinations conducted in the assigned region. Work also involves the review and analysis of risk-based examination reports and the final approval on all special investigations and reports with continuing supervision. Work is performed with considerable independence, subject to review by an administrative supervisor who reviews work through conferences and written communications.

EXAMPLES OF WORK: Administers the non-depository financial institution examination program within an assigned region.

Coordinates and schedules examinations in an assigned region.

Assigns or approves recommendations for Examiner-in-Charge assignments.

Interprets and administers rules, regulations, policies, standards and objectives of the non-depository examination and investigative program.

Analyzes previous examination reports, consumer complaints, intelligence reports and other relevant data to plan for future examinations.

Provides direction on high-risk and complex examinations.

Schedules and directs the examination of state-chartered money transmitters.

Conducts the review of completed examination reports to ensure compliance with report requirements and to ensure appropriate corrective action has been documented.

Recommends the appropriate post-examination transmittal letter.

Conducts periodic visits in the field to ensure adherence to established examination policies and procedures.

Recommends improvements to regional operations through revisions to procedures, examination reports and Bureau programs.

Suggests policy and legislative changes related to non-depository financial institutions.

Reviews consumer-related issues and recommends new programs, services or legislation to address changing trends.

Reviews and revises examination report shells, processes and procedures.

Travels to non-depository financial institutions, required training locations and meetings located in areas both within and outside of the state.

Performs the full range of supervisory duties.

An employee in this job may participate in the performance of subordinates’ work consistent with operational or organizational requirements.

Performs related duties as required.

REQUIRED KNOWLEDGES, SKILLS, AND ABILITIES: Knowledge of the laws, rules, regulations and standards and procedures governing the operation of non-depository financial institutions.

Knowledge of non-depository examination procedures and reporting requirements.

Knowledge of financial data analysis techniques and standards.

Knowledge of records utilized in non-depository financial institutions.

Knowledge of business practices for non-depository financial institutions.

Knowledge of generally accepted accounting standards.

Knowledge of the irregularities, deficiencies and violations detected during examinations and investigations.

Knowledge of the use and functionality of standard software application programs, such as word processing, spreadsheet, e-mail and database.

Ability to communicate effectively orally.

Ability to communicate effectively in writing.

Ability to analyze and interpret written materials.

Ability to establish and maintain effective working relationships.

MINIMUM EXPERIENCE AND TRAINING: Two years as a Senior Non- Depository Financial Institutions Examiner;

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Six years of professional experience in examining or investigating non- depository financial records and business operations for conformance to laws, rules and regulations and a bachelor's degree, including or supplemented by nine credits in accounting, finance, economics or a closely related field;

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An equivalent combination of experience and training, including or supplemented by nine college credits in accounting, finance, economics or a closely related field.