Career Opportunities

Trust Compliance & Audit Examiner -- Federal Reserve Bank of Dallas

Posted: December 7, 2018



Federal Reserve Bank of Dallas
Trust Compliance and Audit Examiner
Dallas, Texas, USA



Primarily conduct examinations of the fiduciary and wealth management activities conducted by community state member banks and bank holding company organizations to determine soundness and compliance with laws, regulations, and principles.  This is accomplished by proactively identifying the quality of risk management practices and the quantity and quality of the inherent and residual risk for the institution. Requires the ability to work collaboratively with various business lines, Reserve Bank management, Board of Governors staff, and other regulatory agencies.  Conducts meetings with institution management and prepares written reports of findings that clearly explain conclusions.  Provides performance feedback and direction to staff.  Contributes to various Federal Reserve System, Reserve Bank, and department initiatives by participating on committees, training initiatives, and the development of policy statements.  An ideal candidate would have experience as a trust examiner, trust compliance officer, or trust auditor; possess strong analytical, communication, and leadership skills; and enjoy working in a dynamic team environment.  

  • Advanced analytical skills as well as a thorough knowledge of fiduciary principles and practices.
  • Leads or participates in fiduciary and wealth management supervisory events of financial institutions. Analyzes and evaluates the entity’s policies, procedures and controls affiliated with the risk area. Confers with entity and other Federal Reserve personnel to gather information and resolve any issues that arise during the examination.  Recommends fiduciary regulatory ratings/assessments.  Leads meetings with entity officials, and Reserve Bank management to discuss issues, findings and recommendations.
  • Leads post-supervisory event activities consisting of completing or supervising the completion and review of workpapers and the examination report, letter of finding or internal memorandum. Ensures written documents summarize and communicate the findings to the entity board and management, the Board of Governors and other regulatory agencies, and comply with System and district standards, policies and procedures.
  • Conducts or supervises the analysis of responses to remediate issues identified during a supervisory event. Monitors entity between supervisory events for new issues and significant changes in risk profile, recommending actions to be taken where appropriate.
  • Ensures expertise is maintained by participating in system and industry conferences, discussions, and training. Ensures that Reserve Bank management and appropriate business lines affected by the fiduciary risk area are aware of the risks and changes in the risk and how such changes affect all business lines and entities supervised.

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