GOT-IT

Financial Services Examiner 3

Grade 25

New York State has approximately 155 positions* in this title statewide. You may view a breakdown of positions by county. This position exists in Financial Services, Department of. View links to all New York State agencies including agencies that have this title. For more information, New York State employees can contact the Career Mobility Office at (518) 485-6199 or (800) 553-1322. If you are not a current New York State employee, you can use the Department of Civil Service Web site to explore possible employment opportunities.

*The number of positions is approximate and represents the number of positions established (both filled and vacant); it is not an indication or reference to position type or duration, or intent to be filled. If you are viewing a trainee title, please note this number reflects the number of positions established at the journey level. Agencies may fill at the trainee level(s) or at the journey level based on employee qualifications. GOT-IT does not provide information on any job postings or job availability. For information on current job postings, please visit State Jobs NY. You may also visit specific New York State Agency websites for information about an agency and its job opportunities.

Career Ladder

A listing of titles that are most commonly used as steps for upward mobility for this title series. The salary schedule for this career ladder is also available.

  1. Financial Services Examiner Trainee 1

    Similar to Grade 14

  2. Financial Services Examiner Trainee 2

    Similar to Grade 16

  3. Financial Services Examiner 1

    Grade 18

  4. Financial Services Examiner 2

    Grade 23

  5. Financial Services Examiner 3

    Grade 25

  6. Financial Services Examiner 4

    Grade 27

Summary of Job Description

As a Financial Services Examiner 3, you would supervise lower-lever Financial Services Examiners; function as a team leader; perform the duties of lower-level Financial Services Examiners and direct lower-level staff engaged in programmatic activities; serve as the lead examiner on a larger and more complex assignment; manage assignment of increasing complexity, difficulty, and sensitivity; and oversee staff in the development of financial services policies, and implementation of new financial services initiatives, including regulatory programs, insurance, examination procedures, management and administration.

View the classification standard for this title, on the Classification and Compensation webpage.

The NYS Title and Salary Plan provides additional information regarding other titles. If there is a classification standard available there will be a link under the column labeled STD. NO. If no link is available there is no classification standard available at this time for that title.

Summary of Minimum Qualifications

Please note: qualifications for this position may be subject to change. If substitutions for education and/or experience are allowed, this information would be available on the announcement.

You must take and pass a Civil Service examination in order to be considered for this position.

There are two examinations for this position. Please note: New York State employees may qualify for both.

For all qualified employees of New York State on or before the date of the examination,you must be a qualified employee of the New York State Department of Financial Services and have had three months of permanent competitive or 55-b/55-c service as a Financial Services Examiner Trainee 1, Financial Services Examiner Trainee 2, Financial Services Examiner 1, Financial Services Examiner 2, or Senior Insurance Examiner.

For all other qualified individuals, on or before the date of the examination, the candidate must have a bachelor’s degree and five years of regulatory or industry experience as defined below:

Regulatory experience is defined as an employee of a bank regulatory agency in the United States whose primary duties are in the examination of banks, trust companies, savings banks, savings and loan associations, credit unions, foreign agencies, foreign branches of investment companies affiliated with a bank, savings bank, trust company, or savings and loan or money service businesses.

Industry experience is defined as technical or supervisory experience in the United States as an employee or officer of a bank, savings bank, trust company, private bank or savings and loan association, a foreign bank’s licensed branch or agency, a public accounting firm, a bank or securities rating agency, a securities firm, investment bank, an insurance company, a mortgage banker, a commercial lending company, or other similar financial services organization. This experience must have been gained in any one or combination of the following: (1) as a trust officer with management or investment authority over estates and/or trusts or in trust operations, trust administration, or the audit and review of trust administration and fiduciary activities at a banking organization; (2) as an accountant with ongoing responsibility for the design, implementation, and review of accounting systems; (3) as an internal auditor with responsibility for conducting a full range of operational or financial audits, excluding those of retail functions; (4) as a person responsible for credit analysis of commercial loans, residential loans, and/or securities investments; (5) as a person responsible for the review and analysis of debt or equity instruments issued by financial institutions; (6) as a person responsible for the review and analysis of the financial condition of banks; (7) as a person with authority to approve commercial loans, residential or commercial mortgages, or who makes securities investments; (8) as a person responsible for compliance with banking law and regulation, including consumer protection laws, the Bank Secrecy Act, the Community Reinvestment Act, and fair lending statutes; (9) as a person responsible for conducting, managing, analyzing or auditing the trading, underwriting, hedging, and/or risk management of capital market instruments by banks or other financial institutions; (10) as a person responsible for financial and/or operational risk assessment; (11) as a person responsible for developing, analyzing, managing, or auditing the operations of IT systems at a bank or other financial institution (experience as a programmer or systems administrator will NOT be considered qualifying); or (12) as a person responsible for the development of internal controls for financial and operational systems.

Other experience which will NOT be considered qualifying includes, but is not limited to, duties confined solely to: clerical or administrative operations; operating equipment (such as bookkeeping machines and various types of automation equipment); bank teller duties; routine posting or review of accounting records; sales, marketing, or business development activities; documentary processing or reconciliation; securities processing or clearance functions and bank insurance. Experience gained in a management training program will also NOT be considered qualifying experience.

For informational purposes only, click on the examination number(s) listed below to see the current or previous examination(s) that are used to fill this title.

25-858 38-414

How to Apply

When this examination is scheduled to be held, the announcement can be found on the Department of Civil Service, Examination Announcements web page. If you do not see an examination currently scheduled please check back on a monthly basis or sign up for announcement notification by email so that you will automatically be notified when new examinations are being offered.

Career Mobility

Career mobility is not just limited to the titles in the Career Ladder, above. Additional movement may be achieved through other examinations, additional education and/or work experience or transfer opportunities. For additional information or clarification of transfer determinations, current State employees should contact the Career Mobility Office. Visit ELMS Online to view established open-competitive, promotion, and transition eligible lists. If you are not a current New York State employee, see Employment Opportunities with New York State and find out how to become a New York State employee.

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