FINANCIAL CONTROL ANALYST - 43004652

State of Florida•Tampa, FL

3d•$70,000 - $75,000•Hybrid

About The Position

The Office of Financial Regulation (OFR) is responsible for licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies, including state-chartered banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money transmitters throughout the state of Florida. The OFR operates from five (5) different office facilities throughout the state of Florida, including Tallahassee (Headquarters), Miami, Orlando, Tampa, and West Palm Beach. The OFR may consider any of these office locations as the primary reporting office location. The OFR is a professional office environment with a public service-driven mission.

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.
A post-secondary degree may be used as an alternative for years of experience on a year-for-year basis.
Knowledge of financial accounting or auditing principles.
Knowledge of securities industry rules and regulations.
Knowledge of the methods of compiling, analyzing and presenting data.
Knowledge of evidence collecting and interviewing techniques.
Knowledge of mathematics.
Ability to review, analyze and evaluate data and to present findings in a clear, concise manner.
Ability to take initiative and dismiss distractions to solve problems in a timely manner.
Ability to work under pressure and be results oriented.
Ability to understand and apply complex laws, rules, regulations, contracts, policies and procedures.
Ability to conduct research and prepare thoroughly documented examination reports.
Ability to probe and obtain critical facts from cooperative and uncooperative witnesses.
Ability to manage assignments and meet deadlines with limited supervision.
Ability to convey a positive impression in written and oral communication with excellent vocabulary and grammatical skills.
Ability to establish and maintain effective working relationships with others.
Ability to recognize the validity, authenticity and propriety of accounting and operating records.
Ability to deliver work products with a high degree of accuracy and precision.
Ability to deliver public remarks clearly and confidently and to testify under oath in hearings or trials.
Ability to effectively use computer hardware and software.
Ability to adapt to change, remain flexible and deal with multiple competing demands.
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 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 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

Performs complex enforcement examinations and investigations of registered dealers, investment advisers, and associated persons to enforce Chapter 517, Florida Statutes and rules.
Prepares reports detailing results of examinations and investigations and provides testimony under oath as necessary.
Stays abreast of significant changes in the securities laws and regulations.
As requested by Management, will assist in the training program for examiners.
Responds to inquiries and provides technical advice and recommendations to field level management concerning the factual context of examinations, investigations, administrative and civil actions.
Responds to inquiries by Department’s legal section concerning verification of evidence in examinations, investigations, administrative and civil actions.
Includes testifying and serving as Departmental representative in hearings.
Performs other related work 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.