FINANCIAL EXAMINER/ANALYST II - 43005225

State of Florida•Tallahassee, FL

9d•$53,000 - $58,000•Onsite

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 is a professional office environment with a public service-driven mission.

Requirements

Two (2) years of professional experience in analyzing, processing applications, 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 or state government is required.
Knowledge of the techniques utilized in conducting examinations of financial institutions or insurance companies
Knowledge of the methods of compiling and analyzing data
Knowledge of accounting or auditing principles and procedures
Ability to recognize the validity, authenticity, and propriety of accounting and operating records
Ability to review, analyze, evaluate data and prepare reports
Ability to understand, interpret and apply laws, rules, regulations, policies and procedures
Ability to plan, organize and coordinate work assignments
Ability to communicate effectively
Ability to establish and maintain effective working relationships with others
Ability to conduct investigations or financial examinations
This position requires a security background check, including fingerprint as a condition of employment.

Nice To Haves

A post-secondary degree from an accredited college or university with a major course of study in compliance, accounting, finance, economics, business, insurance, or risk management may substitute for the required work experience.
Two (2) or more years of professional experience working at a securities dealer or investment adviser in risk management, compliance, operations, or the front office.
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.
Individuals who hold an associate degree from an accredited college or university with a major course of study in compliance, accounting, finance, economics, business, insurance, or risk management.

Responsibilities

Perform advanced analysis and examination of applications and amendments for firms, branch offices, and associated persons to ensure compliance with requirements for registration pursuant to Chapter 517, F.S., and to determine whether additional review is warranted by the Office for enforcement purposes.
Coordinate and assist in general projects relating to the registration records and the application process, on an advanced level and with limited instruction. These projects will include registration renewal, review of annual financial statements, follow-up on delinquent filings and records and research and interpreting regulations.
Handle routine general questions conferring with attorneys, accountants, regulators and the investing public regarding laws, rules, regulations, and department policies under Chapter 517, F.S., and regarding the registration records maintained by the Office pursuant to Chapter 517, F.S.
Analyze registration and enforcement records maintained in various computer and manual record-keeping systems in order to prepare and maintain status reports to monitor workload.
Assist in training of other staff members to ensure their understanding of proper procedures for processing registration information pursuant to Chapter 517, F.S. Participation is providing updated information to, and reviewing work performed by staff members.
Perform other related duties as required by the Office.

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