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Financial Institutions Examiner - Journey

  • 510524
  • Full-time


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 Institutions Examiner - Journey

Job Location:

100 North 15th Avenue

Phoenix, Arizona 85007  

Posting Details:

Annual Salary Range: $55,000 - $79,200  

Grade: 21

This position will remain open until filled

Job Summary:

Under direction, performs professional work of unusual difficulty in the examination and analysis of the conditions and overall operations of financial institutions including conditions of credit, financial statements, internal controls, general operation and methods, trust operations, mortgage portfolios; applies and interprets state and federal laws, rules and regulations.

The Financial Institutions Examiner - Journey will also establish priorities and scope of examination and analysis; write final report of examination; conduct exit reviews with management and directors; calculate institutions' overall rating; investigate complaints received against licensees; and develop cases involving violations of laws by licensees.

Job Duties:

• Writes detailed reports based on examination, analysis and evaluation of data pertaining to specific licensees in accordance with established procedure and format

• Reviews financial documents used by licensees and verifies that financial accounting, controls and figures are in compliance with sate and federal laws

• Conducts field investigations relating to reported violations or irregularities in business or practice; interviews complainants and other, examines evidence, recommends actions and writes detailed investigative reports

• Examines complex records, accounts and securities portfolios of licensees; verifies that proper and lawful procedures are being followed, that securities are appropriate for licensee being examined and that loan portfolio is of such quality to be considered a bankable asset

• Composes a consolidated statement of condition and report of income and expenses based on records, reports and accounts of licensees

• Examines department files and other relevant data prior to examination of business records to determine scope of examination needed

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

• Confers with Unit Supervisor, presenting and resolving problems and questions, discussing plans and actions to be taken

• Directs, instructs, and counsels subordinate examiners in carrying out a variety of tasks and reviews their work products

• Conducts exit reviews to explain the details of the examinations

• Testifies in court or informal hearings as an expert witness

• Other duties as assigned as related to the position

Knowledge, Skills & Abilities (KSAs):


• Generally accepted and regulatory accounting practices and principles and examination procedures

• Computerized products used in examining and accounting systems and use of microcomputers

• Policies and procedures established for the work units

• Investigative techniques and reporting procedures

• Managerial practices and supervisory techniques


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

• Using computerized products and microcomputer in the examination process 

• Researching, analyzing and interpreting complex financial date

• Applying examining and accounting methods and techniques

• Interpreting complex laws, rules and regulations

• 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

Selective Preference(s):

• Prefer professional designations such as Certified Public Accountants or Certified Fraud Examiners

• Past experience in examination or investigative work related to financial institutions

• Prefer 5+ years experience in mortgage servicing, finance, or compliance

• Knowledge of laws pertaining to the Banking/Trust/Mortgage Industry

• Prefer BA in Accounting, Finance, or Business

• Prefer experience reporting financial data

Pre-Employment Requirements:

• Arizona State Drivers License


The State of Arizona offers a comprehensive benefits package to include:

• Optional employee benefits include short-term disability insurance, deferred compensation plans, and supplemental life insurance

• Life insurance and long-term disability insurance

• Vacation plus 10 paid holidays per year

• Health and dental insurance

• Retirement plan

• Sick leave

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:

• If you have any questions please feel free to contact Shawn McConnell at shawn.mcconnell@azdoa.gov


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.