Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA.
June 13, 2021
Leads and manages supervisory events, including determining scope, rating, resource needs, and work assignments.
August 12, 2021
Examines records of assets such as cash and accounts due from institutions, investments, loans, real estate, and equipment to verify accuracy and composition of data provided in financial statements.
October 03, 2021
Communicates, describes, supports, and discusses findings of supervisory events with Reserve Bank and supervised institution management.
October 29, 2021
Assist in the development and implementation of an effective compliance program designed to comply with applicable SEC, FINRA and MSRB rules and regulations.
November 03, 2021
Documenting controls tested and issues discussed during the exam and preparing written reports outlining the results of the examination work performed.
November 04, 2021
Prepares reporting schedules on numerous detail tasks areas, including concentrations of assets in a particular area, rate sensitivity analysis, liquidity and funds management, and premises and equipment.
November 17, 2021