FINANCIAL CONTROL ANALYST - 43005217

State of Florida•Boynton Beach, FL

2d•$70,000 - $75,000•Onsite

About The Position

The incumbent in this position serves as a high-level professional whose main job duties involve conducting complex financial examinations or investigations. The employee is expected to be able to conduct examinations or investigations of multiple registrant types including investment advisers and broker-dealers with minimal to no assistance. Duties include, but are not limited to: Utilizes standard processes and procedures to perform examinations. Evaluates complex information in business and other records for compliance with applicable statutes and administrative rules. Conducts interviews or on-the-record testimony. Prepares high-quality examination or investigation reports with findings supported by documentary evidence with little to no assistance. Prepares high-quality reports, notes, referrals, and various other documents related to examinations or investigations. Communicates information regarding examinations or investigations effectively with agency staff and outside entities. Provides testimony during administrative or civil enforcement proceedings as needed. Stays abreast of significant changes in securities laws and regulations. Assists with the training program for examiners when requested by management. Performs other duties as required.

Requirements

Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers, financial institutions, financial services companies, and insurance companies is required.
Ability to follow standardized operating procedures.
Ability to compile, analyze, and present data.
Ability to conduct research.
Ability to evaluate complex information.
Ability to apply complex laws and regulations to facts
Ability to communicate effectively both orally and in writing.
Ability to utilize problem solving techniques.
Ability to establish and maintain effective working relationships with others.
Ability to work independently.
Ability to use computer hardware and software.
High level of knowledge of Excel
High level of knowledge of examination processes.
High level of knowledge of preparing written reports supported by evidence
High level of knowledge of applicable statutes and administrative rules.
High level of knowledge of financial industry practices.
This position requires a security background check, including fingerprint as a condition of employment.
This position requires approximately 25-50% frequent/overnight travel and a current Driver’s License.

Nice To Haves

A post-secondary degree may be used as an alternative for years of experience on a year-for-year basis.
A bachelor’s degree or master’s degree from an accredited college or university with a major course of study in compliance, accounting, finance, economics, business, insurance, or risk management and individuals with a juris doctor degree from an accredited law school.
Three (3) or more years of recent professional experience in analyzing, investigating, examining, or auditing within the securities, banking, and insurance industries or similar experience in another financial services industry subject to complex review, including similar experience within federal, state, or local government.
Three (3) or more years of professional experience working in risk management, compliance, operations, or the front office of an investment adviser or broker dealer.
Individuals who hold or have held securities industry licenses, regulatory compliance certifications, or other relevant designations, including but not limited to, Certified Fraud Examiner (CFE); Certified Anti-Money Laundering Specialist (ACAMS); and/or a Certified Public Accountant (CPA) designation.

Responsibilities

Utilizes standard processes and procedures to perform examinations.
Evaluates complex information in business and other records for compliance with applicable statutes and administrative rules.
Conducts interviews or on-the-record testimony.
Prepares high-quality examination or investigation reports with findings supported by documentary evidence with little to no assistance.
Prepares high-quality reports, notes, referrals, and various other documents related to examinations or investigations.
Communicates information regarding examinations or investigations effectively with agency staff and outside entities.
Provides testimony during administrative or civil enforcement proceedings as needed.
Stays abreast of significant changes in securities laws and regulations.
Assists with the training program for examiners when requested by management.
Performs other duties as required.

Benefits

Flexible work schedules for most positions.
Paid holidays and an annual personal holiday.
Paid vacation and sick leave.
Excellent health & life insurance options for individuals and/or family coverage.
Additional supplemental insurances available such as dental, vision, disability, etc.
Tax deferred medical and Dependent Care Benefit reimbursement accounts available.
Deferred Compensation opportunities.
Tuition waivers to attend state universities/community colleges.
Retirement plans and options.
Public Service Loan Forgiveness program.