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Requisition No: 818616
Agency: Office of Financial Regulation
Working Title: FINANCIAL EXAMINER/ANALYST II – 43004851
Pay Plan: Career Service
Position Number: 43004851
Salary: $53,000.00 – $58,000.00
Posting Closing Date: 01/25/2024
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*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY*****
DIVISION: SECURITIES
BUREAU: REGISTRATION
CITY: TALLAHASSEE
COUNTY: LEON
SPECIAL NOTES:
Two (2) years of 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 is required. An associate degree from an accredited college or university can substitute for the required work experience.
Preference will be given to individuals who have 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.
Preference will be given to 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.
Candidates should expect a professional office environment with a public service-driven mission. Some of the excellent benefits available to Office of Financial Regulation (OFR) employees include:
- 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.
All applicants seeking employment with the Office of Financial Regulation (OFR) are subject to mandatory background checks conducted through the Department of Financial Services (DFS), Bureau of Human Resource Management in accordance with the requirements of Chapter 435, F.S. and reviews by OFR. Applicants may be disqualified for employment with OFR based on the information that may be obtained through research and/or OFR’s review process.
No applicant may begin employment until the background screening results are received, reviewed for any disqualifying offenses, and approved by the Agency. Background screening shall include, but not be limited to, fingerprinting for State and Federal criminal records checks through the Florida Department of Law Enforcement (FDLE) and Federal Bureau of Investigation (FBI) and may include local criminal history checks through local law enforcement agencies.
It is the agency’s goal to fill multiple positions with this advertisement.
The anticipated annual salary range shall be from $53,000.00 to $58,000.00 The starting salary shall be commensurate with the selected candidate’s competencies and qualifications.
Employees of the Department of Financial Services are paid on a monthly pay cycle.
Responses to qualifying questions must be clearly supported by the state application and any omission, falsification, or misrepresentation in the answering of the qualifying questions will be cause for immediate elimination from the selection process.
MINIMUM QUALIFICATIONS FOR THIS POSITION INCLUDE THE FOLLOWING REQUIRED ENTRY LEVEL KNOWLEDGE, SKILLS, AND ABILITIES:
- Knowledge of the methods of compiling and analyzing data.
- Knowledge of accounting or auditing principles and procedures.
- Knowledge of basic mathematics.
- Ability to review, analyze, and evaluate data.
- Ability to write and prepare reports.
- Ability to conduct audits of financial records.
- Ability to understand, interpret, and apply laws, rules, regulations, policies, and procedures.
- Ability to plan, organize, and coordinate work assignments.
- Ability to communicate effectively both verbally and in writing.
- Ability to establish and maintain effective working relationships with others.
- Ability to conduct investigations or financial examinations.
BRIEF DESCRIPTION OF DUTIES:
Perform advanced analysis and examination of complex investment adviser applications and amendments for firms, branch offices, and associated persons to ensure compliance with requirements for registration pursuant to Chapter 517, F.S.
Assist in conducting an investment adviser orientation program for firms whose registrations have recently been approved by the Bureau.
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 researching and interpreting regulations, change of control, and ADV Part 2 amendments.
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.
Process federal-covered investment adviser notice filings.
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.
Perform other related duties as required by the Office.
If you are a retiree of the Florida Retirement System (FRS), please check with the FRS on how your current benefits will be affected if you are re-employed with the State of Florida. Your current retirement benefits may be canceled, suspended, or deemed ineligible depending upon the date of your retirement.
The State of Florida is an Equal Opportunity Employer/Affirmative Action Employer, and does not tolerate discrimination or violence in the workplace.
Candidates requiring a reasonable accommodation, as defined by the Americans with Disabilities Act, must notify the agency hiring authority and/or People First Service Center (1-866-663-4735). Notification to the hiring authority must be made in advance to allow sufficient time to provide the accommodation.
The State of Florida supports a Drug-Free workplace. All employees are subject to reasonable suspicion drug testing in accordance with Section 112.0455, F.S., Drug-Free Workplace Act.
VETERANS’ PREFERENCE. Pursuant to Chapter 295, Florida Statutes, candidates eligible for Veterans’ Preference will receive preference in employment for Career Service vacancies and are encouraged to apply. Certain service members may be eligible to receive waivers for postsecondary educational requirements. Candidates claiming Veterans’ Preference must attach supporting documentation with each submission that includes character of service (for example, DD Form 214 Member Copy #4) along with any other documentation as required by Rule 55A-7, Florida Administrative Code. Veterans’ Preference documentation requirements are available by clicking here. All documentation is due by the close of the vacancy announcement.
