CLASS CODE: 1575
PAY GRADE: 426

CLASS TITLE:FINANCIAL EXAMINER/ANALYST SUPERVISOR - SES

ALLOCATION FACTOR(S)

This is work supervising Financial Examiner/Analysts I, II, and/or Financial Specialists. The primary duty of the employee(s) in the position(s) allocated to this class is to spend the majority of time communicating with, motivating, training and evaluating employees, planning and directing their work; and having the authority to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward or discipline subordinate employees or to effectively recommend such actions.

EXAMPLES OF WORK PERFORMED:

(Note: The examples of work as listed in this class specification are not necessarily descriptive of any one position in the class. The omission of specific statements does not preclude management from assigning specific duties not listed herein if such duties are a logical assignment to the position. Examples of work performed are not to be used for allocation purposes.)

  • Motivates employees to improve the quality and quantity of work performed.
  • Plans work loads, work flows, deadlines, work objectives and time utilization with employees.
  • Evaluates employees through establishing evaluation criteria and responsibilities and meeting regularly with employees to ensure the established criteria are met.
  • Trains employees in methods for performing an effective and efficient job.
  • Communicates on a regular basis with employees both individually and in staff meetings.
  • Directs the work of employees to ensure best use of time and resources.
  • Supervises and assists in the examination of sales contracts, purchase orders, installment contracts involving retail, motor vehicle, home improvement, and related finance companies, banks, and savings and loan associations purchasing these types of contracts.
  • Supervises and assists in the examination of consumer finance companies to determine that excessive finance charges have not been made and that the finance company is in compliance with other regulatory rules and statutes.
  • Schedules, supervises, and/or performs investigations of new applicants for licenses under the jurisdiction of the department.
  • Performs indepth investigation reports to be submitted as evidence at administrative or judicial hearings.
  • Directs and assists examiners-in-charge with developing report of examination and ensures that manuscript and related workpapers are submitted to bureau at conclusion of assignment.
  • Supervises and examines books, records, and brokerage contracts of mortgage brokers and records of privately owned cemeteries, trading stamp companies, and other licensees to determine compliance with the statutes.
  • Reviews internal accounting and filing systems to determine if adequate records are prepared and retained in the area office.
  • Plans examinations and assigns and supervises personnel engaged in the examination of (1) state-chartered depository institutions which include banks, savings and loan associations, trust companies, and credit unions or (2) insurance companies which may include HMOs and Guaranty Funds.
  • Supervises detailed aspects of examination work and reviews and evaluates findings while assuming responsibility for correctness.
  • Supervises and participates in the preparation of examination reports, including acting as examiner-in-charge in all sizes and types of financial institutions or insurance companies.
  • Confers with officials and boards regarding findings of examinations and oversees liaison between examiners, company management, and independent consultants regarding examinations.
  • Recommends to financial institutions or insurance companies improvements in operating procedures, loan practices, or related subjects.
  • Compiles evidence to be used in judicial or administrative proceedings and testifies when required.
  • Serves as an area contact person for the public in assisting in answering financial institution related questions and consumer complaints.
  • Holds hearings for the department on new financial institution applications and licenses for subsidiary functions.
  • Conducts preopening examinations for new institutions.
  • Performs related work as required.

KNOWLEDGE, SKILLS AND ABILITIES:

(Note: The knowledge, skills and abilities (KSA's) identified in this class specification represent those needed to perform the duties of this class. Additional knowledge, skills and abilities may be applicable for individual positions in the employing agency.)

  • Knowledge of the techniques utilized in conducting examinations of financial institutions or insurance companies.
  • Knowledge of program planning and evaluation techniques.
  • Knowledge of the methods of compiling and analyzing data.
  • Knowledge of accounting or auditing principles and procedures.
  • Knowledge of basic mathematics.
  • Ability to supervise people.
  • Ability to review, analyze and evaluate data.
  • Ability to prepare reports and schedules.
  • Ability to conduct audits of financial records.
  • Ability to understand, interpret and apply laws, rules, regulations, policies and procedures.
  • Ability to determine work priorities, assign work, and ensure proper completion of work assignments.
  • Ability to conduct investigations and financial examinations.
  • Ability to utilize problem solving techniques.
  • Ability to communicate effectively.
  • Ability to establish and maintain effective working relationships with others.

MINIMUM QUALIFICATIONS

EFFECTIVE:

7/1/2001

HISTORY:

05/08/1995

06/30/1989

05/06/1987