Principal Financial Examiner


Recruitment #221206-1160AR-001


Are you a current Department of Banking employee looking to grow your career within the agency?   
If so, we encourage you to read below & apply today!
The State of Connecticut, Department of Banking (DOB), is now accepting applications for an exciting Principal Financial Examiner role! 
  • Industry leading health benefits, including medical and dental coverage
  • Competitive salary structure 
  • Extensive pension plan and supplemental retirement offerings
  • Paid time off - including 13 paid holidays per calendar year
  • Professional growth and development opportunities
  • Culture that encourages work-life balance
THE ROLE: You will be assigned to the Securities and Business Investments Division to act as a working supervisor in the division’s enforcement and licensing unit, conducting and overseeing investigations and licensing and registration cases of greater than average difficulty and complexity of financial institutions under the Division's supervision, including broker dealers and investment advisers.  The following is a list of some (but not limited to) example duties you will perform: 
  • Act as a working supervisor for other examiners
  • Lead complex, precedent setting and high visibility enforcement actions
  • Review reports of investigations, including the most complex and time consuming investigations
  • Review examination reports including the most complex examinations when needed
  • Assist the licensing function including a review of complex licensing cases and complex security registration and exemption filings
  • Assist with developing and implementing division policy and operating procedures to gain operational efficiencies
  • Train less experienced examiners
  • Assist the Banking Department Manager with staff evaluations including annual performance appraisals
  • Help facilitate resolutions of consumer complaints
  • Work with the Banking Department Manager to propose and negotiate stipulation and consent agreements
  • Recommend disciplinary action against regulated entities as appropriate
  • Monday-Friday
  • Full-time (40 hours/week) 
  • 1st Shift 
  • Hybrid telework schedules available   
  • Centrally located in Hartford, CT (260 Constitution Plaza) with easy access to all major highways
WHO ARE WE: The State of Connecticut, Department of Banking (DOB), is a state agency whose mission is to ensure the safety and soundness of Connecticut's banking system by providing oversight, consumer protection, and administration services. DOB works to ensure that consumers are protected from unfair or deceptive practices.

Watch the video below to see how fellow State of CT employees make an impact everyday! 

Selection Plan

To Apply:
  • In order to be considered for this job opening you must be a current State of CT employee of the agency listed above for at least six (6) months of full-time service or full-time equivalent service, absent any applicable collective bargaining language, and meet the Minimum Qualifications as listed on the job opening.  You must specify your qualifications on your application.
  • The minimum experience and training requirements must be met by the close date on the job opening, unless otherwise specified.
  • Ensure that your application is complete and detailed before submitting it. In order to comply with Public Act 21-69, the State of Connecticut is no longer asking for resumes during the initial application process. You will not be able to make revisions once your application is submitted into the JobAps system.
  • Please select all location(s) and shift(s) you are willing to work on your application. Failure to do so may result in not being considered for vacancies in that specific location or shift.
  • All application materials must be received by the recruiting agency by the time specified on the job opening for the position for which you are applying. Late applications may not be submitted and will not be considered. Exceptions are rare and limited to documented events that incapacitate a candidate during the entire duration of the job posting time period. It is the candidate’s obligation and responsibility to request an exception and provide a legally recognized justification to accommodate such exception. Requests should be made to
For Assistance In Applying:
Important Information After You Apply:
  • This posting may require completion of additional referral questions (RQs). You can access these RQs via an email that will be sent to you after the posting's closing date or by visiting your JobAps Personal Status Board (Certification Questionnaires section). Your responses to these RQs must be submitted by the questionnaire's expiration date. Please regularly check your email and JobAps Personal Status Board for notifications. Please check your SPAM and/or Junk folders on a daily basis in the event an email provider places auto-notification emails in a user's spam.
  • Although applicants will receive correspondence via email, as a backup they are also encouraged to sign on to their Personal Status Board on a daily basis to monitor their status, view all emailed notices and complete tasks required in the recruitment process.
  • Note: At any point during the recruitment process, applicants may be required to submit additional documentation which support their qualification(s) for this position. These documents may include: a cover letter, resume, performance reviews, attendance records, supervisory references, licensure, etc., at the discretion of the hiring agency.
  • Interviews will be limited to candidates whose experience and training most closely meet the requirements of the position.
  • The immediate vacancy is listed above, however, applications to this recruitment may be used for future vacancies in this job class.
  • Candidates who are offered and accept a position with the State of Connecticut are bound by the State Code of Ethics for Public Officials and State Employees which is available at
Connect With Us:
  • Due to the large volume of applications received, we are unable to provide confirmation of receipt or status during the recruitment process. Updates will be available through your JobAps portal account. Should you have any questions pertaining to this recruitment, please contact
  • Follow the State of Connecticut on LinkedIn.


In the Department of Banking, this class is accountable for acting as a working supervisor for other examiners in the most difficult, complex and sensitive examinations and investigations of the financial entities regulated by the Department of Banking.


Assigns roles and tasks and provides guidance to a team of examiners conducting non-routine examinations or investigations of banks, credit unions, broker-dealers, investment advisers, mortgage companies, consumer lenders and other financial entities; ensures timely and accurate completion of work; recommends and supports exam or investigation findings; develops and recommends procedures within assignment area; acts as liaison with other regulators, entity’s senior management and agency managers; reviews or conducts specialized portions of exam or investigation; assesses financial condition and/or regulatory compliance by reviewing, analyzing and consolidating team assignments; conducts enforcement activities including documentation of violations, recommending corrective action, negotiating settlement terms, working with other regulators and participating in hearings; communicates with entity’s senior management to review issues and findings; prepares exam and investigation reports; trains less experienced examiners; provides information and guidance to regulators, industry and public on areas of expertise; may work with prosecuting officials and testifies in court or administrative hearings with regard to examinations and investigations; may conduct or assists in conducting performance evaluations; performs related duties as required.


Considerable knowledge of the organization, operations and business practices of financial entities such as banks, credit unions, trust companies, broker-dealers, investment advisers, mortgage companies and other non-bank grantors of credit; considerable knowledge of statutes and regulations applicable to entities; considerable knowledge of principles and practices of accounting, auditing and finance; considerable knowledge of regulatory and investigative procedures and techniques; considerable oral and written communication skills; considerable interpersonal skills; some negotiation skill; ability to utilize computer software; some supervisory ability.


Eight (8) years of experience in the regulation of financial entities or in accounting, auditing, banking or finance.
Note: Financial entities are defined as domestic and international banks, credit unions, broker-dealers, investment advisers, mortgage companies and consumer lenders.


One (1) year of the General Experience must have been in an advanced working level class performing the most difficult examinations and investigations of financial entities.
Note: For State Employees, this will be interpreted at the level of Associate Financial Examiner.


1. College training may be substituted for the General Experience on the basis of fifteen (15) semester hours equaling one-half (1/2) year of experience to a maximum of four (4) years for a Bachelor’s degree.
2. A Master’s degree in Business, Accounting, Finance or closely related field may be substituted for one (1) additional year of the General Experience.
3. Licensure or certification as a Certified Public Accountant may be substituted for one (1) additional year of the General Experience.


  • Experience conducting investigations or compliance audits.
  • Experience with consumer financial protection laws.
  • Experience writing exam reports or investigative memorandums.
  • Experience communicating both verbally and in writing with all levels of the organization.
  • Experience with E License.
  • Experience with the licensing and registration process.


1. Incumbents in this class may be required to travel.
2. Incumbents in this class may be rquired to possess and retain a valid Motor Vehicle Operator's license.



The State of Connecticut is an equal opportunity/affirmative action employer and strongly encourages the applications of women, minorities, and persons with disabilities.