Will “Senior Capital Markets Specialist” be Replaced By Robots? 🤔
17% Chance of Automation
“Senior Capital Markets Specialist” will almost certainly not be replaced by robots.
This job is ranked #198 out of #702, where higher means less likely to be replaced.
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.
- The SOC (Standard Occupational Classification) code is 13-2061.00
- The Mean Annual Wage in the U.S. is $ 88,940.00
- The Mean Hourly Wage is $ 42.00
- Currently, there are 49,750 people on this job
☝️ Information based on the reference occupation “Financial Examiners”.
Also Known As…
- Financial Examiners
- Supervisory Examiner
- Senior Examiner
- Senior Capital Markets Specialist
- Principal Examiner
- Home Mortgage Disclosure Act Specialist (HMDA Specialist)
- Examining Officer
- Credit Union Field Examiner
- Credit Union Examiner
- Community Reinvestment Act Officer (CRA Officer)
- Bank Secrecy Act Anti-Money Laundering Officer (BSA/AML Officer)
- Treasury Analyst
- Securities Compliance Examiner
- Regulatory Analyst
- Pension Examiner
- Payroll Examiner
- Internal Auditor
- Financial Examiner
- Financial Compliance Examiner
- Director of Securities and Real Estate
- Compliance Vice President
- Compliance Specialist
- Compliance Officer
- Compliance Manager
- Compliance Director
- Compliance Analyst
- Chief Bank Examiner
- Bank Examiner
- Bank Compliance Officer
Tasks for “Senior Capital Markets Specialist”
- Confer with officials of real estate, securities, or financial institution industries to exchange views and discuss issues or pending cases.
- Establish guidelines for procedures and policies that comply with new and revised regulations and direct their implementation.
- Review audit reports of internal and external auditors to monitor adequacy of scope of reports or to discover specific weaknesses in internal routines.
- Evaluate data processing applications for institutions under examination to develop recommendations for coordinating existing systems with examination procedures.
- 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.
- Plan, supervise, and review work of assigned subordinates.
- Review and analyze new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.
- Review balance sheets, operating income and expense accounts, and loan documentation to confirm institution assets and liabilities.
- Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
- Verify and inspect cash reserves, assigned collateral, and bank-owned securities to check internal control procedures.
- Provide regulatory compliance training to employees.
- 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.
- 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.
- Examine the minutes of meetings of directors, stockholders and committees to investigate the specific authority extended at various levels of management.
- Train other examiners in the financial examination process.
- Resolve problems concerning the overall financial integrity of banking institutions including loan investment portfolios, capital, earnings, and specific or large troubled accounts.
- Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
Related Technology & Tools
- Notebook computers
- 10-key calculators
- Personal computers
- Desktop computers
- Structured query language SQL
- PricewaterhouseCoopers TeamMate
- Microsoft Word
- ODEN Insurance Services State Rules & Regulations
- Oversight Insights On Demand
- Financial transaction analysis software
- Microsoft Excel
- Financial compliance software
- Word processing software
- Presentation software
- Microsoft Visio
- Microsoft Access
- Microsoft Office
- General Examination System GENESYS
- Spreadsheet software
- Microsoft SharePoint
- Auditing software
- Investigation management software
- Microsoft PowerPoint
- NILS INSource
- ACL Analytics
- Microsoft Project
- Web browser software
- System for Electronic Rate and Form Filing SERFF