Compliance examiner Job at State of Louisiana, Baton Rouge, LA

  • State of Louisiana
  • Baton Rouge, LA

Job Description

This vacancy is located in the Office of Financial Solvency / Financial Examinations Analyst Division. Premium pay, special entrance rate, hybrid telework options, and a flexible schedule are all offered for this position.

The LA Department of Insurance is a State As a Model Employer (SAME) agency that supports improved employment opportunities for individuals with disabilities.

To apply for this vacancy, click on the “Apply” link above and complete an electronic application, which can be used for this vacancy as well as future job opportunities. Applicants are responsible for checking the status of their application to determine where they are in the recruitment process. Further status message information is located under the Information section of the Current Job Opportunities page.
Resumes WILL NOT be accepted in lieu of completed education and experience sections on your application. Applications may be rejected if incomplete.

For further information about this vacancy contact:
Lori G. Blair
Louisiana Department of Insurance
P.O. Box 94214
Baton Rouge, LA 70804  


A baccalaureate degree with nine semester hours in accounting and an additional fifteen semester hours in accounting, economics, finance, business law, insurance, statistics, financial analysis, or money and banking.



Six years of full-time work experience in any field may be substituted for the required baccalaureate degree (not the 24 hours of specialized coursework).


Candidates without a baccalaureate degree may combine work experience and college credit to substitute for the baccalaureate degree (not the 24 hours of specialized coursework) as follows:


A maximum of 120 semester hours may be combined with experience to substitute for the baccalaureate degree.


30 to 59 semester hours credit will substitute for one year of experience towards the baccalaureate degree.

60 to 89 semester hours credit will substitute for two years of experience towards the baccalaureate degree.

90 to 119 semester hours credit will substitute for three years of experience towards the baccalaureate degree.

120 or more semester hours credit will substitute for four years of experience towards the baccalaureate degree.


College credit earned without obtaining a baccalaureate degree may be substituted for a maximum of four years full-time work experience towards the baccalaureate degree. Candidates with 120 or more semester hours of credit, but without a degree, must also have at least two years of full-time work experience to substitute for the baccalaureate degree.



Professional level experience in regulatory examination with the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Bank (FRB), the Office of Comptroller of the Currency (OCC), the National Credit Union Administration (NCUA), or a state financial institutions regulatory agency responsible for the regulation of banks, thrifts, credit unions, or mortgage lenders will substitute for the twenty-four semester hours of specialized college coursework on the basis of six semester hours for one year of regulatory examination experience.



Any college hours or degree must be from an accredited college or university.

Function of Work:
Examines the accounting systems and financial status of financial service providers or insurance companies to ensure financial solvency and fair consumer practices.

Level of Work:

Supervision Received:
Direct from a Compliance Examiner Assistant Manager, Compliance Examiner Manager, or other higher-level supervisor.

Supervision Exercised:

Location of Work:

Primarily used by the Department of Insurance and Office of Financial Insitutions (OFI).

Job Distinctions:
Differs from Compliance Examiner 2 by the absence of responsibility for performing the full range of examination functions. EXAMPLES BELOW ARE A BRIEF SAMPLE OF COMMON DUTIES ASSOCIATED WITH THIS JOB TITLE. NOT ALL POSSIBLE TASKS ARE INCLUDED.

Conducts field examinations of financial service providers and insurance companies such as banks, residential mortgage lenders, pawnshops, credit unions, and HMOs to determine compliance with state and federal laws, policies, rules, and regulations.

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.

Examines records of liabilities such as deposit accounts, savings accounts, certificates of deposit, taxes, debts, loans, other borrowed money, and accrued expenses; reviews records of stockholder's equity such as common stock, preferred stock, capital surplus, retained earnings, and subordinated debt to determine accuracy of and composition of data in financial statements.

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.

Attends meetings and conferences with top-level management of firms to obtain information, resolve discrepancies, and report findings.

On a rotating basis, will serve as an assistant-in-charge for examinations of lesser complexity.

Attends and successfully completes beginning Compliance examiner school.

Job Tags

Full time, Work experience placement, Remote job, Flexible hours,

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