FINANCIAL CONTROL ANALYST - 43005217

State of Florida; West Palm Beach (FL); On-site; USD 74,000 - 80,000; Full time

Benefits offered by this job

Flexible work schedules

Paid holidays

Vacation and sick leave

Health & life insurance

Retirement plans

Tuition waivers

Public Service Loan Forgiveness

Deferred Compensation

Job summary

The Office of Financial Regulation in West Palm Beach seeks a Financial Control Analyst to conduct complex financial examinations and investigations of securities dealers and financial institutions. You will prepare detailed reports, present findings with supporting evidence, and stay current on regulatory changes.

Requires 4+ years in relevant compliance work and a degree in a related field; strong Excel skills are essential. Travel of 25-50% may be required.

Qualifications

• 4+ years of professional examination, regulatory or compliance work relating to securities dealers, investment advisers, financial institutions, financial services companies, or insurance companies.
• A post-secondary degree may substitute years of experience on a year-for-year basis.
• Ability to follow standardized operating procedures.
• Ability to analyze, compile, and present data.

Responsibilities

• Conduct complex financial examinations or investigations for multiple registrant types with minimal supervision.
• Evaluate complex information for compliance with statutes and rules.
• Prepare high-quality examination or investigation reports with documentary evidence.
• Provide testimony during proceedings as needed.
• Stay updated on changes in securities laws and regulations.
• Assist with examiner training as requested.

Skills

Excel

Data analysis

Written and verbal communication

Research

Problem solving

Independent work

Education

Bachelor's degree in compliance, accounting, finance, economics, business, insurance, or risk management

Job description

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The State Personnel System is an E-Verify employer. For more information click on our E-Verify Website .

Requisition No:886569

Agency: Office of Financial Regulation

Working Title: FINANCIAL CONTROL ANALYST - 43005217

OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY

CLASS TITLE: FINANCIAL CONTROL ANALYST

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: WEST PALM BEACH

COUNTY: PALM BEACH

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.

• 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.
• 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.

Requirement:

• 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 with a major course of study in compliance, accounting, finance, economics, business, insurance, or risk management may be used as an alternative for years of experience on a year‑for‑year basis.

Preferences:

• 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.

MINIMUM QUALIFICATIONSFOR THIS POSITION INCLUDE THE FOLLOWING REQUIRED ENTRY LEVEL KNOWLEDGE, SKILLS AND ABILITIES:

• 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.

SPECIAL NOTES:

PREVIOUS APPLICANTS NEED NOT REAPPLY.

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.

The anticipated salary for this position is $74,000.00 and $80,000.00. The salary may be commensurate with experience. This position may include the addition of a Competitive Area Differential (CAD) of $105.73 monthly/$1268.76 annually (Miami/WPB) or $53.73 monthly/$644.76 annually (Tampa), if applicable.

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.

All applicants seeking employment with the OFR are subject to mandatory background checks conducted through the DFS, Bureau of Human Resource Management in accordance with the requirements of chapter 435, Florida Statutes, and reviews by OFR. Applicants may be disqualified for employment 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.

BRIEF DESCRIPTION OF DUTIES:

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.

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.

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.

Location:

WEST PALM BEACH, FL, US, 33401

Nearest Major Market: Palm Beach
Nearest Secondary Market: Miami

For assistance, call the People First Service Center at [phone] Monday - Friday, 8:00 a.m. to 6:00 p.m., Eastern time. Pursuant to Florida Law, 110.211 F. S., the State of Florida is an EEO employer.