# Financial Examiners > Enforce or ensure compliance with laws and regulations governing financial and securities institutions and financial and real estate transactions. May examine, verify, or authenticate records. - Code: 13-2061.00 (O*NET-SOC; SOC 2018 13-2061) - Family: [Business & Financial](https://foundation.org.ai/occupations#family-13), one of its 50 occupations - Tasks: 17 tasks (16 core and 1 supplemental) - Page: https://foundation.org.ai/occupations/13-2061.00 - JSON: https://foundation.org.ai/data/tasks/13-2061.00.json ## What the work is made of 1. Direct and participate in formal and informal meetings with bank directors, trustees, senior management, counsels, outside accountants, and consultants to gather information and discuss findings. Core task · Task 7324 · Rated by 23 occupational experts, August 2020 2. Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions. Core task · Task 7317 · Rated by 23 occupational experts, August 2020 3. 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. Core task · Task 7319 · Rated by 23 occupational experts, August 2020 4. Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts. Core task · Task 7327 · Rated by 23 occupational experts, August 2020 5. Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency. Core task · Task 7314 · Rated by 23 occupational experts, August 2020 6. Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities. Core task · Task 7320 · Rated by 23 occupational experts, August 2020 7. Plan, supervise, and review work of assigned subordinates. Core task · Task 7316 · Rated by 23 occupational experts, August 2020 8. Review audit reports of internal and external auditors to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines. Core task · Task 7321 · Rated by 23 occupational experts, August 2020 9. Examine the minutes of meetings of directors, stockholders, and committees to investigate the specific authority extended at various levels of management. Core task · Task 7318 · Rated by 23 occupational experts, August 2020 10. Train other examiners in the financial examination process. Core task · Task 7322 · Rated by 23 occupational experts, August 2020 11. Establish guidelines for procedures and policies that comply with new and revised regulations and direct their implementation. Core task · Task 7323 · Rated by 23 occupational experts, August 2020 12. Review and analyze new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact. Core task · Task 7315 · Rated by 23 occupational experts, August 2020 13. Provide regulatory compliance training to employees. Core task · Task 20190 · Rated by 23 occupational experts, August 2020 14. Evaluate data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures. Core task · Task 7328 · Rated by 23 occupational experts, August 2020 15. Review applications for mergers, acquisitions, establishment of new institutions, acceptance in Federal Reserve System, or registration of securities sales to determine their public interest value and conformance to regulations, and recommend acceptance or rejection. Core task · Task 7326 · Rated by 23 occupational experts, August 2020 16. Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures. Core task · Task 7325 · Rated by 23 occupational experts, August 2020 17. Confer with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases. Supplemental task · Task 7329 · Rated by 23 occupational experts, August 2020 ## More in Business & Financial - [Accountants and Auditors](https://foundation.org.ai/occupations/13-2011.00): 29 tasks - [Agents and Business Managers of Artists, Performers, and Athletes](https://foundation.org.ai/occupations/13-1011.00): 14 tasks - [Appraisers and Assessors of Real Estate](https://foundation.org.ai/occupations/13-2023.00): 30 tasks - [Appraisers of Personal and Business Property](https://foundation.org.ai/occupations/13-2022.00): 14 tasks - [Budget Analysts](https://foundation.org.ai/occupations/13-2031.00): 13 tasks - [Business Continuity Planners](https://foundation.org.ai/occupations/13-1199.04): 21 tasks - [Business Operations Specialists, All Other](https://foundation.org.ai/occupations/13-1199.00): no tasks listed - [Buyers and Purchasing Agents, Farm Products](https://foundation.org.ai/occupations/13-1021.00): 12 tasks - [Claims Adjusters, Examiners, and Investigators](https://foundation.org.ai/occupations/13-1031.00): 29 tasks - [Compensation, Benefits, and Job Analysis Specialists](https://foundation.org.ai/occupations/13-1141.00): 22 tasks - [Compliance Officers](https://foundation.org.ai/occupations/13-1041.00): 16 tasks - [Coroners](https://foundation.org.ai/occupations/13-1041.06): 20 tasks - [Cost Estimators](https://foundation.org.ai/occupations/13-1051.00): 14 tasks - [Credit Analysts](https://foundation.org.ai/occupations/13-2041.00): 11 tasks - [Credit Counselors](https://foundation.org.ai/occupations/13-2071.00): 23 tasks - [Customs Brokers](https://foundation.org.ai/occupations/13-1041.08): 23 tasks - [Environmental Compliance Inspectors](https://foundation.org.ai/occupations/13-1041.01): 26 tasks - [Equal Opportunity Representatives and Officers](https://foundation.org.ai/occupations/13-1041.03): 18 tasks - [Farm Labor Contractors](https://foundation.org.ai/occupations/13-1074.00): 7 tasks - [Financial and Investment Analysts](https://foundation.org.ai/occupations/13-2051.00): 26 tasks - [Financial Quantitative Analysts](https://foundation.org.ai/occupations/13-2099.01): 21 tasks - [Financial Risk Specialists](https://foundation.org.ai/occupations/13-2054.00): 30 tasks - [Financial Specialists, All Other](https://foundation.org.ai/occupations/13-2099.00): no tasks listed - [Fraud Examiners, Investigators and Analysts](https://foundation.org.ai/occupations/13-2099.04): 23 tasks - [Fundraisers](https://foundation.org.ai/occupations/13-1131.00): 28 tasks - [Government Property Inspectors and Investigators](https://foundation.org.ai/occupations/13-1041.04): 13 tasks - [Human Resources Specialists](https://foundation.org.ai/occupations/13-1071.00): 26 tasks - [Insurance Appraisers, Auto Damage](https://foundation.org.ai/occupations/13-1032.00): 7 tasks - [Insurance Underwriters](https://foundation.org.ai/occupations/13-2053.00): 7 tasks - [Labor Relations Specialists](https://foundation.org.ai/occupations/13-1075.00): 28 tasks - [Loan Officers](https://foundation.org.ai/occupations/13-2072.00): 30 tasks - [Logisticians](https://foundation.org.ai/occupations/13-1081.00): 22 tasks - [Logistics Analysts](https://foundation.org.ai/occupations/13-1081.02): 31 tasks - [Logistics Engineers](https://foundation.org.ai/occupations/13-1081.01): 30 tasks - [Management Analysts](https://foundation.org.ai/occupations/13-1111.00): 11 tasks - [Market Research Analysts and Marketing Specialists](https://foundation.org.ai/occupations/13-1161.00): 13 tasks - [Meeting, Convention, and Event Planners](https://foundation.org.ai/occupations/13-1121.00): 21 tasks - [Online Merchants](https://foundation.org.ai/occupations/13-1199.06): 34 tasks - [Personal Financial Advisors](https://foundation.org.ai/occupations/13-2052.00): 21 tasks - [Project Management Specialists](https://foundation.org.ai/occupations/13-1082.00): 20 tasks - [Purchasing Agents, Except Wholesale, Retail, and Farm Products](https://foundation.org.ai/occupations/13-1023.00): 19 tasks - [Regulatory Affairs Specialists](https://foundation.org.ai/occupations/13-1041.07): 30 tasks - [Search Marketing Strategists](https://foundation.org.ai/occupations/13-1161.01): 36 tasks - [Security Management Specialists](https://foundation.org.ai/occupations/13-1199.07): 23 tasks - [Sustainability Specialists](https://foundation.org.ai/occupations/13-1199.05): 14 tasks - [Tax Examiners and Collectors, and Revenue Agents](https://foundation.org.ai/occupations/13-2081.00): 21 tasks - [Tax Preparers](https://foundation.org.ai/occupations/13-2082.00): 12 tasks - [Training and Development Specialists](https://foundation.org.ai/occupations/13-1151.00): 20 tasks - [Wholesale and Retail Buyers, Except Farm Products](https://foundation.org.ai/occupations/13-1022.00): 20 tasks ## Where this comes from Quoted from O*NET 29.0, U.S. Department of Labor, Employment and Training Administration, under CC BY 4.0: free to copy and reuse, with credit. 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