JOB TITLE: CHIEF OF DEPOSITORY FIELD EXAMINATIONS PROGRAM

JOB CODE: 03305

DEFINITION: This is professional managerial work in directing the statewide field examination program in the Department of Banking and Securities, Bureau of Bank Supervision.

The employee in this job is responsible for planning and organizing statewide field examinations for banks regulated by the Department of Banking and Securities. Work involves directing and coordinating examinations of state-chartered banks to ensure compliance with laws, regulations, and sound management practices; supervising IT examinations; issuing informal enforcement actions; recommending formal enforcement actions and changes to bank ratings; developing, revising, and implementing examination programs and procedures; and evaluating and recommending changes to bureau policies, regulations, and legislation designed to protect consumers from fraud. Work also involves coordinating examinations with federal regulators; meeting with banking officials to discuss examination issues; and supervising IT examinations for trust companies and credit unions. Supervision is exercised over Depository Financial Institutions Program Managers and other technical and professional examination staff, including IT examiners. Work is performed independently under the general direction of the Director, Bureau of Bank Supervision, who reviews work for attainment of objectives and overall program effectiveness.

EXAMPLES OF WORK: (NOTE: The examples of work are representative of the work, but every position classified to this job may not perform all examples of work listed. Conversely, this is not an all-inclusive list of work examples.):

• Plans, organizes, and directs the work of the examination program through subordinate Depository Financial Institutions Program Managers.

• Coordinates examination programs, schedules, and reports with other regulatory agencies for nationwide institutions.

• Supervises IT examiners and coordinates the statewide IT examinations for banks, independent trust companies, and credit unions.

• Conducts vetting sessions with federal regulators to reach agreements on changes to bank ratings.

• Approves final examination reports for strong and satisfactorily rated banks.

• Analyzes examination issues and trends and prepares reports and recommendations to address issues and improve bureau operations.

• Reviews and comments on proposed legislation and regulation changes affecting depository institutions.

• Establishes, implements, and administers new or revised policies and procedures, standards, directives, circulars, and manuals.

• Manages the training program for examiners and ensures examiner certifications are maintained.

• Assists in developing goals and objectives for the bureau.

• Performs the full range of supervisory duties.

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

• Performs related work as required.

ENTRY LEVEL KNOWLEDGES, SKILLS, AND ABILITIES:

• Knowledge of the laws and regulations governing the operations of depository financial institutions.

• Knowledge of depository financial regulatory examination procedures.

• Knowledge of accounting principles, practices, and records utilized in depository financial institutions.

• Knowledge of depository financial institutions’ business practices and operations.

• Knowledge of generally accepted auditing standards.

• Knowledge of generally accepted accounting standards.

• Knowledge of computerized accounting processes.

• Knowledge of the corrective actions that should be initiated when depository financial institution violations are detected.

• Knowledge of the principles of rating systems for depository financial institutions.

• Knowledge of the principles and practices of supervision.

• Knowledge of the use and functionality of Microsoft Office Suite software.

• Ability to interpret financial data and reports.

• Ability to analyze and interpret written materials.

• Ability to communicate effectively orally.

• Ability to communicate effectively in writing.

• Ability to establish and maintain effective working relationships.

FULL PERFORMANCE KNOWLEDGES, SKILLS, AND ABILITIES: (NOTE: These are expected of an employee performing the work of this job at the full performance level. These may not be evaluated by the State Civil Service Commission or used for Civil Service examination purposes and are not position-specific performance standards.):

• Knowledge of the structure and operations of the Bureau of Bank Supervision.

MINIMUM EXPERIENCE AND TRAINING: (NOTE: Based on the Entry Level Knowledges, Skills, and Abilities):

• One year as a Depository Financial Institutions Program Manager;

or

• Seven years of professional experience in examining depository financial institution or trust company records and operations for conformance to laws, rules, and regulations, which included one year of supervisory experience; and a bachelor's degree with a major in finance, accounting, economics, or information technology, including or supplemented by nine credits in accounting;

or

• Seven years of professional internal auditing experience in a depository financial institution or trust company, which included one year of supervisory experience; and a bachelor's degree with a major in finance, accounting, economics, or information technology, including or supplemented by nine credits in accounting;

or

• Seven years of professional operating experience in a depository financial institution or trust company with experience in any of the following areas: lending, audit, risk management, transactions processing, trust department, branch management, compliance, finance/accounting, information technology systems, or capital markets/treasury, which included one year of supervisory experience; and a bachelor’s degree with a major in finance, accounting, economics, or information technology, including or supplemented by nine credits in accounting;

or

• An equivalent combination of experience and training, which included one year of supervisory experience and nine college credits in accounting.