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Financial Enterprises Examiner

  • 504040
  • Full-time
  • Closing at: Jan 31 2022 at 16:00 MST


The Department of Insurance and Financial Institutions licenses, monitors, investigates, examines, and ensures the safety and soundness of, regulated entities. The Department also helps resolve consumer complaints against financial-services and insurance entities; takes action in response to violations of law; encourages competition, innovation, and economic development; collects taxes and assessments that support State government operations; combats auto theft and insurance fraud through public awareness campaigns, and funding for law enforcement and dedicated prosecutors.
Our mission is to help Arizonans receive the benefits and protections to which they are legally entitled by enforcing insurance and financial institution laws and by providing information and assistance and to combat vehicle theft.

Financial Enterprises Examiner

Job Location:
100 N. 15th Ave
Suite 261
Phoenix, AZ 85007
Posting Details:

Hourly Pay Range: $25.00 - $32.25 

Grade: 20

Closing Date: 1/31/2022

Job Summary:

The Financial Enterprises Examiner will be responsible for performing professional work of unusual difficulty in the examination and analysis of the conditions and overall operations of financial enterprises including conditions of credit, financial statements, internal controls, general operations and methods and trust operations.

The Financial Enterprises Examiner will apply and interpret state and federal laws, rules and regulations; establishes priorities and scope of examination and analysis; writes a final report of examination; conducts exit reviews with management and directors; calculates institution's overall rating; develops cases involving violations of laws by licensees, and testifies as he expert witness at administrative hearings.

Job Duties:

• Examining complex records, accounts, and portfolios of securities of licensees; Verifying that proper and lawful procedures are being followed, that securities are appropriate for licensee being examined, and that abusive practices are not taking place

• Writing detailed reports based on an examination, analysis, and evaluation of data pertaining to specific licensees in accordance with established policies and procedures. Conducting exit reviews to discuss the results of the examinations. Conducting field investigations relating to reported violations or irregularities in business or practice; interviewing complainants and others, examining evidence, recommending actions, and writing detailed investigative reports

• Reviewing financial documents and other data used by licensee and verifying that financial accounting controls and figures are in compliance with state and federal laws. May assist Supervisor examiner with directing, instructing, and training subordinate examiners in carrying out a variety of tasks and reviewing their work products

• Examining department files and other data prior to examination of business records to determine the scope of examination needed

• Analyzing financial statements of licensees in order to make determinations on compliance with state laws and regulations

Knowledge, Skills & Abilities (KSAs):


• Generally Accepted Accounting Principles and examination procedures

• Software platforms relevant to financial services business operations

• Familiarity with cybersecurity concepts and best practices

• Policies and procedures established for the work units

• Investigative techniques and reporting procedures


• Applying federal and state laws, rules and regulations as they pertain to licensee’s operations and activities

• Using investigative methods and techniques and maintaining chain of evidence

• Researching, analyzing and interpreting complex financial data

• Applying examining and accounting methods and techniques

• Interpreting complex laws, rules and regulations

• Work management and leadership

• Oral and written communications

• Interpersonal relationships

• Mathematical calculations


• Excellent oral and written communication skills to provide conclusions and work products to other examiners and financial licensee managers

• Interpersonal skills to work well in a team environment and to interact with staff and management at various financial institutions

• Be able to travel with overnight stays away from home base. Typical out of town travel can be up to 1/3 of the time

Selective Preference(s):

• Knowledge of state and federal laws pertaining to Financial Services including interest in digital assets

• Past experience and training in examination or investigative work related to Financial Enterprises

• Knowledge of the Money Transmitter and/or Collection Agency industry

• Knowledge of BSA (Bank Secrecy Act)

• CPA Certified

Pre-Employment Requirements:

• Employees who drive on state business are subject to driver’s license record checks, must maintain acceptable driving records and must complete any required driver training (see Arizona Administrative Code R2-10-207.12.)

• Employment is contingent on the selected applicant passing a background investigation and FINGERPRINT CLEARANCE CARD

• Requires possession of and ability to retain a current, valid state-issued driver’s license appropriate to the assignment


The State of Arizona provides an excellent comprehensive benefits package including:

• Affordable medical and dental insurance plans

• Short/long-term disability insurance

• Wellness program and plans

• Paid vacation and sick time

• Credit Union membership

• 10 paid holidays per year

• Defined retirement plan

• Transit subsidy

• Life insurance

For a complete list of benefits provided by The State of Arizona, please visit our benefits page


• Positions in this classification participate in the Arizona State Retirement System (ASRS)

• Please note that enrollment eligibility will become effective after 27 weeks of employment

Contact Us:

Arizona State Government is an EOE/ADA Reasonable Accommodation Employer. Persons with a disability may request a reasonable accommodation such as a sign language interpreter or an alternative format by calling (602) 364-0108.

Requests should be made as early as possible to allow sufficient time to arrange the accommodation. DIFI is an Equal Employment Opportunity Employer. All newly hired employees will be subject to E-Verify Employment Eligibility Verification.


All Arizona state employees operate within the Arizona Management System (AMS), an intentional, results-driven approach for doing the work of state government whereby every employee reflects on performance, reduces waste, and commits to continuous improvement with sustainable progress.  Through AMS, every state employee seeks to understand customer needs, identify problems, improve processes, and measure results.  
State employees are highly engaged, collaborative and embrace a culture of public service.

The State of Arizona is an Equal Employment Opportunity Employer.