Senior Examiner Resume Sample
Cyrus Daniel
18878 Hollie Land,
San Francisco,
CA
+1 (555) 717 5646
Work Experience
Senior Examiner
07/2015
-
PRESENT
San Francisco, CA
- Provide support to peers and management for other departmental responsibilities
- Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws
- Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions
- Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner
- Demonstrate proficient critical thinking, interviewing, research and quantitative skills
- Conduct in-person consultations with branch manager, advisors and support staff and present the Annual Compliance Meeting to all participants, which could be an audience of 1 to 10 or more persons
- Act as internal business partner to other business units, including relationship managers and designated principals, to address issues and provide feedback
Examiner / Senior Examiner
03/2008
-
02/2015
Chicago, IL
- Participate in groups and/or committees for special projects to enhance audit processes and broader firm initiatives
- Remain current with FINRA and state regulatory issues as well as the company’s own written compliance policies and procedures
- Green Belt training or experience with structured process improvement desirable
- Evaluate and document the adequacy and effectiveness of the firm’s risk management practices based on submitted information, interviews, and site visits
- Stay current with SEC and CFTC Rules and Regulations in regards to the examination of member firms’ risk management policies and procedures
- Credit related experience including some experience in commercial lending
- Managing issues by tracking, reviewing and validating the issue owners’ progress until closure
Senior Examiner Municipal Affairs
03/2005
-
11/2007
Chicago, IL
- The hiring range for IT Examiner is $79,914 - $99,893, annually
- The hiring range for IT Senior Examiner is $101,831 - $127,289, annually
- Plan and organize work, manage multiple assignments, meet due dates, prioritize tasks and manage time, and comprehend and master concepts and procedures
- Positively influence many different and possibly conflicting constituents on issues that challenge current thinking and processes
- Participate on examinations to maintain examiner skill set
- Perform or assist in reviewing and editing work prepared by others for content, clarity and accuracy. Provide comments on regulatory proposals; develop procedures for use by field staff; analyze key financial reports, review information from financial institutions and written communication to financial institutions
- Interprets and analyzes current industry practices and institutional specific risks; develops an understanding of sound practices through on- and off-site supervision techniques; and formulates a supervisory perspective on an institution’s relevant risk management practices
Education
Webster University - Orlando Campus
1999 - 2004
Bachelor's Degree in Finance
Professional Skills
- Possess analytical, data management, critical thinking, organizational, research, oral and written communication skills with strong attention to detail
- Strong written/ verbal communication skills with the ability to create presentations and present at all levels of the organisation and with external customers
- Demonstrated experience in identifying, assessing and reporting on existing and emerging risks
- Industry experience, preferably auditing and/or compliance experience
- Advanced knowledge and experience in mortgage servicing systems
- Direct commercial credit experience
- Experience with direct applicability to Credit Review responsibility
How to write Senior Examiner Resume
Senior Examiner role is responsible for analysis, credit, cash, lending, finance, securities, training, auditing, compensation, reporting.
To write great resume for senior examiner job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Senior Examiner Resume
The section contact information is important in your senior examiner resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Senior Examiner Resume
The section work experience is an essential part of your senior examiner resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous senior examiner responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular senior examiner position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Senior Examiner resume experience can include:
- Strong cash flow analysis skills with understanding of counterparty risk, traded products and institutional lending
- Responsible for leading, researching, and data analytics to lead/perform operational reviews based upon risk, client, regulatory and internal requirements
- Above average ability to communicate clearly and concisely both verbally and in writing
- Challenge ourselves and each other:inspires colleagues to do their best, always look for better ways of doing things and embrace opportunities to learn
- Always strive to deliver – be flexible when it counts; be agile and responsive to changing needs and deliver to the highest standards, whenever and wherever
- Financial services, banking regulations, examinations, and/or expertise in a financial services or other relevant specialty
Education on a Senior Examiner Resume
Make sure to make education a priority on your senior examiner resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your senior examiner experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Senior Examiner Resume
When listing skills on your senior examiner resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical senior examiner skills:
- Leadership Performance: focusing on efficient and effective delivery and achievement of goals and targets to meet defined business aims
- Experience with credit analysis in international markets
- Able to Implement and review, Collect and Verify review Evidence, Organize Data
- Advanced MS Office Product Experience
- Experience in targeted/adverse reviews
- Intermediate problem solving and analytical
List of Typical Experience For a Senior Examiner Resume
1
Experience For Examiner / Senior Examiner Resume
- Ensure common understanding of SIMS and AQLs
- Act as SMFP with external agencies including Defence Standards Authority and Driver and Vehicle Standards Agency
- Ownership of Engineering SharePoint
- Identify and resolve safety issues immediately; escalating where necessary
- Ensure DSG examination activities are carried out in a safe environment
- Ensure DSG examination facilities and activities are compliant with statutory and commercial requirements (JSP930)
2
Experience For IT Examiner / IT Senior Examiner Resume
- Develop and deliver a strategic plan at drive commonality and consistency of performance across DSG examination centres
- Promote best practice and drive continuous improvement activities across DSG examination cells
- Ensure Examiners maintain competency and currency (SQEP)
- Develop and maintain a set of business wide inspection KPIs reviewing them periodically to ensure relevance and adjust to meet developing business changes/ needs as required
- Capture, analyse and exploit examination data
- Develop and maintain common and simple procedures and guidelines
- Manage DSA and DVSA audit Trackers to ensure CAR action completed
3
Experience For Senior Examiner Municipal Affairs Resume
- Ensure NBI/ CAB promulgated
- Benchmark DSG methodology and standards with similar organisations
- Exploit technology to improve efficiency
- Start and stop work within the examination function
- Determine and implement examinations procedures changes where applicable
- Implement control measures
List of Typical Skills For a Senior Examiner Resume
1
Skills For Examiner / Senior Examiner Resume
- Assist in developing audit scope, objectives and appropriate audit tests to sufficiently document municipal unit’s compliance with audit requirements
- Foreign language for International Examiners
- Build Credibility & Trust
- Analyze Problems & Make Decisions
- Data Collection, Research, Investigation
- Able to meet Key Performance Indicators
- Read, interpret and apply procedural documentation to review activity
2
Skills For IT Examiner / IT Senior Examiner Resume
- Advanced Proficiency with MS Office applications, Visio, Minitab
- Drive, executes, and meets stated deadlines
- Competent PC user (MS Office, MS Outlook, SharePoint, ERP system, Fleet Management, JAMES, Clarity)
- Leading Innovation and Change: embraces change by inspiring people to identify and make changes that maximise business success. Encourages and fosters continuous improvement and sharing of best practice
- Leading People and Teams: bringing together and working successfully with diverse groups of people to capitalise on strengths, experience and knowledge to accomplish shared business objectives. Encouraging development as a strategy to strengthen the business
- Leading Customer Focus: focusing on high levels of customer satisfaction and service, on both external and internal customer needs and expectations. Creating an environment in which employees want to and can deliver an excellent service resulting in sustained profitability and business success
3
Skills For Senior Examiner Municipal Affairs Resume
- Leading Culture: creating an organisational culture of high performance and excellence, by demonstrating the Babcock values and behaviours. Embracing and promoting workplace diversity by conducting business to the highest standards of honesty and integrity
- Review risk management processes while evaluating the institution’s compliance with a variety of laws and regulations
- Safeguard customers’ reputations:pull out all the stops, achieve positive outcomes for each other and
- Manages a caseload of claims. Procures all medical records and statements that support the claim
- Gain knowledge of professional standards, Division policies and guidelines, accounting systems, opinions and laws and provide guidance and technical assistance to local officials when requested
- Assist in supporting the Division’s use of TeamMate by providing technical support to field examiners, researching TeamMate issues, drafting or presenting training materials, and participating in the rollout of software upgrades
- Prioritize and perform reviews and analyses assignments of financial statements and municipal data as necessary to meet processing targets and deadlines, to effectively assist in implementing the Division’s annual plan
4
Skills For Senior Examiner Product Liability Claims Resume
- Town and Village Justice Court Reporting
- Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Working Conditions
- Performs tasks accurately, within specific time frames and/or under time constraints
- Work is normally performed in an office environment at FINRA, member firm premises or at various locations
- Extended hours are frequently required
- Work expectations include timely and high quality productivity
- Prepare written products, often on difficult or controversial matters and under significant time pressures, for a variety of audiences both within and outside the FDIC
- Participate in meetings with and make presentations to high level officials from the FDIC, other regulatory agencies and insured financial institutions on supervisory issues, often of a difficult or controversial nature
- Knowledge of economics and finance, including the development of quantitative analysis methodologies and tools, the structure and operations of global financial markets, and the characteristics and risks associated with various financial instruments
5
Skills For Senior Examiner of Municipal Affairs Resume
- Prepare written products, often on difficult or controversial matters and under significant time pressures, for a variety of audiences both within and outside of the FDIC
- Participate in meetings with and make presentations to high level officials from the FDIC, other regulatory agencies, and insured financial institutions on supervisory issues, often of a difficult or controversial nature
- Knowledge of economics and finance, including development of quantitative analysis methodologies and tools, the structure and operations of global financial markets, and the characteristics and risks associated with various financial instruments
- Skill in preparing written products, often on difficult or controversial matters and under significant time pressures, for a variety of audiences both within and outside the FDIC
- Knowledge of laws and regulations related to trust activities, registered transfer agents, municipal and government securities dealers, to conduct trust and securities examination activities
6
Skills For IT Risk Examiner / Senior Examiner Resume
- Knowledge of financial institution supervisory methods and procedures to assess risk and conduct onsite examinations or supervisory reviews at large or complex banking organizations
- Use knowledge of economics and finance to develop quantitative analysis methodologies and tools and operations of global financial markets and the characteristics and risk associated with various financial instruments
- Strong analytical, writing and presentation skills required
- Recent, proven experience of equipment inspections
- Experience of military equipment inspections
7
Skills For Senior Examiner, Claims Resume
- Experience in commercial bank or financial institution examination, risk management, audit, or bank operations required
- Soliciting or accepting any gift from a prohibited source or because of the Examiner's official position
- Engineering qualification to HNC or higher
- Disclosing any confidential information from a bank examination report except as authorized by law
- Reviews developments applicable to the assigned organization, including accounting, reporting, and regulatory changes
- Conduct first level review and approval of Examiner work papers for accuracy, supporting documentation, and justification of preliminary findings
8
Skills For Credit Review Senior Examiner Resume
- Commissioned Examiner of the Federal Reserve System
- Participating in any examination, or other matter, involving an insured depository institution or any person with whom the Examiner has an outstanding loan or line of credit
- Performing any service for compensation with any bank, or for any officer, director, or employee thereof, or for any person connected therewith
- Evaluates data metrics from multiple sources, analysis of records, reports, internal/client systems, vendor, regulations and operating procedures and practices to assess/monitor compliance to policies and procedures and regulatory requirements
- With support from QA Management creates, approves, and presents final review findings to QA and Operations leadership which identifies and addresses areas of risk and evaluates overall effectives of operation
- Support preparation for client conference calls, meeting, and visits. This includes the reviewing, tracking, and monitoring of the accuracy of work · processed by the Lending Solutions Operating Centers domestically and off shore vendors (70%)
- Excellent credit analysis, project management and leadership skills
9
Skills For Senior Examiner Large Financial Institution Cg Temporary Promotion Nte Resume
- Conducts bank supervision and examination functions, with a view toward assessing risk, as well as strengthening and improving the condition of the assigned organization, as appropriate
- Conducts ongoing analysis and evaluation of the financial condition, business initiatives, and future prospects of the assigned organization and its affiliates to assess the potential risk to the deposit insurance fund
- Prepares written reports summarizing the results of examinations, analyses, studies, and other supervisory findings to inform senior management at both the regional and Washington office level of significant issues and recommend appropriate supervisory action
- Maintains ongoing communication with management at the assigned organization to exchange information and inform them of supervisory findings and issues, as well as respond to and resolve issues or questions
- Strong cash flow analysis skills
- Maintains cooperative relationships with the appropriate state, Federal, and international supervisory agencies
- Conducts ongoing analysis and evaluation of the financial condition, business initiatives, and future prospects of the assignment organization and its affiliates to assess the potential risk to the deposit insurance fund
10
Skills For IT Examiner / Senior Examiner Resume
- Prepares written reports summarizing the results of examinations, analyses, studies and other supervisory findings to inform senior management at both the regional and Washington office level of significant issues and recommend appropriate supervisory action
- Maintains ongoing communication with management at the assigned organization to exhange information and inform them of supervisory findings and issues, as well as respond to and resolve issues or questions
- Or less - Frequent travel is required
- Obtaining a loan or a line of credit from any insured state nonmember bank or its subsidiaries. Any extensions of credit held by the Examiner, the Examiner's spouse, or any
- Participates and serves effectively as an Examiner-In-Charge (EIC) for institutions with $10-$50 billion dollars in assets to ensure the, the successful completion of an examination or inspection including the assessment of the institution's overall condition, risk management systems, and compliance with applicable laws and regulations; performs continuous monitoring
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