State of Florida · 1 week ago
FINANCIAL CONTROL ANALYST - 43004852
Tampa, FL
Contract
Onsite
Mid Level
$70K/yr - $75K/yr
4+ years expThe State of Florida's Office of Financial Regulation is responsible for regulating financial institutions and services. They are seeking a Financial Control Analyst to perform complex examinations and investigations of registered broker-dealers and investment advisers, preparing comprehensive reports and providing testimony during enforcement proceedings as needed.
Government Administration
Responsibilities
Performs complex examinations and investigations of registered broker-dealers, investment advisers and associated persons to enforce Chapter 517, Florida Statutes, and rules
Prepares comprehensive reports detailing results of examinations and investigations and provides testimony under oath during enforcement proceedings when needed
Provides guidance to other examiners
Stays abreast of significant changes in the securities laws and regulations
As requested by Division Management, assists with the training program for examiners
Performs Other Related Work As Required
Qualification
Required
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 postsecondary degree may be used as an alternative for the years of experience on a year-for-year basis
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
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 product 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, including the REAL systems
Ability to adapt to change, remain flexible and deal with multiple competing demands
Preferred
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
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
Company
State of Florida
The State of Florida is an online telephone and email directory for state government agencies and employees in Florida.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Richard Herstein, MD, MHA, MBA
Chief Hospital Administrator (CEO) and Chief Medical Officer (CMO)
Jimmy Patronis
Chief Financial Officer
Recent News
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