Sample Financial Examiner Resume

Posted in Examiner Resume Examples

Rod Shaw
2565 Thrash Trail
Longview, TX 75601
(222)-610-9072
[email]

Job Objective To use my skills to obtain the Financial Examiner positionand help the company benefit from my expertise in this field.

Highlights of Qualifications:

  • Good understanding of financial and accounting issues related to the regulated industries
  • Familiarity with Self-Regulatory Organization and SEC rules and regulations, and generally accepted accounting principles
  • Ability to evaluate the financial, operational, supervisory and internal control procedures
  • Ability to learn common accounting practices used in the banking industry

Professional Experience:

Financial Examiner, August 2005 – Present
Finra, Longview, TX

  • Examined and analyzed financial and operational compliance of Floor members and member organizations.
  • Examined members and member organization books and records to verify that their activities are in accordance with applicable SRO and SEC rules and regulations.
  • Reviewed subordination agreements for adherence with SEC and Exchange requirements.
  • Collaborated in a team environment and interacted with senior member firm and FINRA personnel.

Financial Examiner, May 2000 – July 2005
Financial Industry Regulatory Authority Inc., Longview, TX

  • Established guidelines for procedures and policies that complied with new and revised regulations and directed their implementation.
  • Planned, supervised and analyzed work of assigned subordinates.
  • Supervised other examiners in the financial examination process.
  • Recommended actions to ensure adherence with laws and regulations to protect solvency of institutions.
  • Reviewed balance sheets, operated income and expense accounts and loan documentation to confirm institution assets and liabilities.

Education

Bachelor’s Degree in Accounting, Johnson & Wales University, North Miami, FL

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