Job Description
Description
The Kentucky Department of Financial Institutions is responsible for supervision of the Financial Services Industry and for chartering, licensing and registering various financial institutions, securities firms and professionals operating in the state of Kentucky.
We are looking for a Financial Institutions Examiner I, to join our team of highly skilled professionals. As a Financial Institutions Examiner I, you will conduct examinations of state-regulated securities entities to ensure compliance with the Kentucky Securities Act. Work in this position includes gathering and analyzing financial and other data to identify any potential violations of the Act. The candidate selected for this examiner role will examine broker dealers, registered representatives, investment advisors, and investment advisor representatives. Extensive training is offered, both internally and externally, through on-site and off-site venues.
Most in-state travel is commutable; however, overnight stays are required approximately 30% of the time.
Responsibilities Include, But Are Not Limited To, The Following
• Perform entry level examinations.
• Learn appropriate procedures to procure records.
• Write reports and correspondence.
• Some travel is required for both examination and training purposes.
• Will conduct supervised examinations at the entity’s location.
• Will attain entry level knowledge on analyzing data and statute interpretation of federal and state laws.
• Be prepared to meet with the manager and legal staff to address examination findings.
• Be organized and timely with the submission of reports and follow-up.
• Be self- motivated.
• Other responsibilities as they arise.
Preferred Skills And Abilities
• Highly self-motivated.
• Strong written and verbal communication skills.
• Self-directed.
• Good analytical skills.
Reasons To Work For Us Include
• Paid time off (sick and vacation) plus paid holidays
• Overtime and compensatory time
• Affordable health insurance with optional Health Reimbursement Account
• Life insurance
• Retirement
• Wellness incentives program
• Training and career development opportunities; paid continuing education
• Optional Deferred Compensation program (401K)
• Employee discounts on electronics; health and wellness; retail; travel, events and entertainment; and services and education
• Telecommuting and flexible work schedules
Applicants must be currently authorized to work in the United States for any employer.
If you are interested in a challenging yet rewarding career where you can make a positive impact in your community, we would love to review your application for Financial Institutions Examiner I, within the Department of Financial Institutions.
Minimum Requirements
EDUCATION: Graduate of a college or university with a bachelor's degree in accounting, business administration, economics, finance or a related field, or a juris doctorate.
EXPERIENCE, TRAINING, OR SKILLS: NONE
Substitute EDUCATION for EXPERIENCE: NONE
Substitute EXPERIENCE for EDUCATION: Experience as a financial institution or securities examiner, or professional experience working for a financial institution or securities regulatory agency will substitute for the required education on a year- for-year basis. OR Two years of professional experience as an officer, accountant, analyst, internal auditor, compliance officer, or related professional in a financial institution; or as a registered/licensed securities broker, dealer, agent or investment advisor representative; or as an investigator of financial fraud in the financial institutions or securities industries; or as an examiner, analyst or specialist at a state or federal regulatory agency will substitute for each year of the required education.
SPECIAL REQUIREMENTS (AGE, LICENSURE, REGULATION, ETC.): Must possess a valid driver's license prior to employment in this job classification. Must maintain any required licensure(s), certification(s), or other credentials for the length of employment in this job classification. Employing agency is responsible for ensuring employee possesses and maintains required licensure(s), certification(s) or other credentials.
Working Conditions
Work is usually performed in the offices of the financial institution or securities entity being examined, reviewed, or investigated. Will require travel usually within a defined geographic "district." Travel outside one's district may be required periodically. Work may also be performed in the Department's central office or in one of its field offices.
The Kentucky Department of Financial Institutions is responsible for supervision of the Financial Services Industry and for chartering, licensing and registering various financial institutions, securities firms and professionals operating in the state of Kentucky.
We are looking for a Financial Institutions Examiner I, to join our team of highly skilled professionals. As a Financial Institutions Examiner I, you will conduct examinations of state-regulated securities entities to ensure compliance with the Kentucky Securities Act. Work in this position includes gathering and analyzing financial and other data to identify any potential violations of the Act. The candidate selected for this examiner role will examine broker dealers, registered representatives, investment advisors, and investment advisor representatives. Extensive training is offered, both internally and externally, through on-site and off-site venues.
Most in-state travel is commutable; however, overnight stays are required approximately 30% of the time.
Responsibilities Include, But Are Not Limited To, The Following
• Perform entry level examinations.
• Learn appropriate procedures to procure records.
• Write reports and correspondence.
• Some travel is required for both examination and training purposes.
• Will conduct supervised examinations at the entity’s location.
• Will attain entry level knowledge on analyzing data and statute interpretation of federal and state laws.
• Be prepared to meet with the manager and legal staff to address examination findings.
• Be organized and timely with the submission of reports and follow-up.
• Be self- motivated.
• Other responsibilities as they arise.
Preferred Skills And Abilities
• Highly self-motivated.
• Strong written and verbal communication skills.
• Self-directed.
• Good analytical skills.
Reasons To Work For Us Include
• Paid time off (sick and vacation) plus paid holidays
• Overtime and compensatory time
• Affordable health insurance with optional Health Reimbursement Account
• Life insurance
• Retirement
• Wellness incentives program
• Training and career development opportunities; paid continuing education
• Optional Deferred Compensation program (401K)
• Employee discounts on electronics; health and wellness; retail; travel, events and entertainment; and services and education
• Telecommuting and flexible work schedules
Applicants must be currently authorized to work in the United States for any employer.
If you are interested in a challenging yet rewarding career where you can make a positive impact in your community, we would love to review your application for Financial Institutions Examiner I, within the Department of Financial Institutions.
Minimum Requirements
EDUCATION: Graduate of a college or university with a bachelor's degree in accounting, business administration, economics, finance or a related field, or a juris doctorate.
EXPERIENCE, TRAINING, OR SKILLS: NONE
Substitute EDUCATION for EXPERIENCE: NONE
Substitute EXPERIENCE for EDUCATION: Experience as a financial institution or securities examiner, or professional experience working for a financial institution or securities regulatory agency will substitute for the required education on a year- for-year basis. OR Two years of professional experience as an officer, accountant, analyst, internal auditor, compliance officer, or related professional in a financial institution; or as a registered/licensed securities broker, dealer, agent or investment advisor representative; or as an investigator of financial fraud in the financial institutions or securities industries; or as an examiner, analyst or specialist at a state or federal regulatory agency will substitute for each year of the required education.
SPECIAL REQUIREMENTS (AGE, LICENSURE, REGULATION, ETC.): Must possess a valid driver's license prior to employment in this job classification. Must maintain any required licensure(s), certification(s), or other credentials for the length of employment in this job classification. Employing agency is responsible for ensuring employee possesses and maintains required licensure(s), certification(s) or other credentials.
Working Conditions
Work is usually performed in the offices of the financial institution or securities entity being examined, reviewed, or investigated. Will require travel usually within a defined geographic "district." Travel outside one's district may be required periodically. Work may also be performed in the Department's central office or in one of its field offices.
💡 Quick Summary
Seeking a career-building opportunity? The Financial Institutions Examiner I position is now open for candidates interested in the Bank Jobs sector. This role in Ashland offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
