Help needed in aligning the job duties as Financial Examiner

[stone hearted]

Hi Seniors,

Iam currently seeking your urgent help on the jobs and duties section (work experience). i have alligned my role in the following JDs as Financial Examiner. Please check and suggest whether it seems ok as per the NOC 1114 or not. need your serious and prompt guidance on it.


 Monitoring the implementation of regulatory supervisory actions in the bank and/or assessing compliance with such actions.

 Reviewing & evaluating processes and procedures of internal control framework in line with regulatory and internal policy guideline and providing recommendation if any inadequacy noted.

 Preparing comprehensive reports on the safety and soundness, overall condition, risk profile, compliance of the bank with Regulatory laws and regulations.

 Evaluating and assessing the institutions’ risk management framework and the risk management practices.

 Communicating and educating process owners the importance of an effective control environment and work with them on internal control findings and action plans.

 Reviewing the New Product Proposals/Policies and Procedures of the bank, ensuring that bank is in compliance with the Regulator’s Risk & Control Standards.
 Reviewing Audit Reports of Internal and External Auditors to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.

 Evaluating and determining the bank’s capital adequacy based on the BASEL II/III risk framework.

 Generating various analysis reports, which highlight the bank's risk profile, based on Fraud & Forgeries data, Regulator Penalties, Compliance Exceptions, Existing Control Structure, Key risks faced by the bank etc and presenting them to Executive Committee / Board Committee along with remedial plans to curtail the bank’s losses.

 Working closely with other functions of the bank including Internal Audit, Financial Controls Division, Compliance, Business and Support units etc to understand and resolve their routine risk issues.

 

[SPDESTINY]

Job Duties and Tasks for: "Financial Examiner"

1) Verify and inspect cash reserves, assigned collateral, and bank-owned securities in order to check internal control procedures.

2) Confer with officials of real estate, securities, or financial institution industries in order to exchange views and discuss issues or pending cases.

3) Establish guidelines for procedures and policies that comply with new and revised regulations, and direct their implementation.

4) Evaluate data processing applications for institutions under examination in order to develop recommendations for coordinating existing systems with examination procedures.

5) Examine the minutes of meetings of directors, stockholders and committees in order to investigate the specific authority extended at various levels of management.

6) Plan, supervise, and review work of assigned subordinates.

7) Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine their impact.

8) Review applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales in order to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.

9) Train other examiners in the financial examination process.

10) Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants and consultants in order to gather information and discuss findings.

11) Investigate activities of institutions in order to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.

12) Prepare reports, exhibits and other supporting schedules that detail an institution's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions.

13) Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.

14) Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.

15) Review audit reports of internal and external auditors in order to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.

16) Review balance sheets, operating income and expense accounts, and loan documentation in order to confirm institution assets and liabilities.

 

[stone hearted]

Job Duties and Tasks for: "Financial Examiner"

1) Verify and inspect cash reserves, assigned collateral, and bank-owned securities in order to check internal control procedures.

2) Confer with officials of real estate, securities, or financial institution industries in order to exchange views and discuss issues or pending cases.

3) Establish guidelines for procedures and policies that comply with new and revised regulations, and direct their implementation.

4) Evaluate data processing applications for institutions under examination in order to develop recommendations for coordinating existing systems with examination procedures.

5) Examine the minutes of meetings of directors, stockholders and committees in order to investigate the specific authority extended at various levels of management.

6) Plan, supervise, and review work of assigned subordinates.

7) Review and analyze new, proposed, or revised laws, regulations, policies, and procedures in order to interpret their meaning and determine their impact.

8) Review applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales in order to determine their public interest value and conformance to regulations, and recommend acceptance or rejection.

9) Train other examiners in the financial examination process.

10) Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants and consultants in order to gather information and discuss findings.

11) Investigate activities of institutions in order to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.

12) Prepare reports, exhibits and other supporting schedules that detail an institution's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions.

13) Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.

14) Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.

15) Review audit reports of internal and external auditors in order to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.

16) Review balance sheets, operating income and expense accounts, and loan documentation in order to confirm institution assets and liabilities.

Thanks dear for sharing such tasks but actually my job role is of a risk analyst and after alligning i also have to take sign from supervisor so alligned in that manner. Well my specified job duties are ok or not as per your idea for 1114 and from where did you get these jds?

 

[stone hearted]

Seniors Please guide me. Iam really worried and at the last deadline and dont want to make anything wrong with my application thatswhy kind help n guidance is really needed....