FINANCIAL CONTROL ANALYST - 43005226

State of Florida; Fort Myers (FL); On-site; USD 70,000 - 75,000; Full time

Job summary

The State of Florida's Office of Financial Regulation seeks a Financial Control Analyst to perform complex examinations and regulatory reviews of securities dealers and financial institutions. The role requires strong analytical skills, data interpretation, and the ability to prepare evidence-based reports.

Travel up to 25‑50% is expected, and the position may report from Fort Myers or Tampa offices. A background in finance, compliance, or accounting is preferred, with a focus on examination

Qualifications

• Four or more years of professional examination, regulatory or compliance work experience are required.
• A post-secondary degree may be used as an alternative for years of experience.
• Preferences include advanced degrees or certifications in compliance, accounting, finance, or risk management.

Responsibilities

• Conduct complex financial examinations or investigations of multiple registrant types including investment advisers and broker‑dealers.
• Evaluate information for compliance with applicable statutes and rules.
• Prepare high-quality examination reports with findings supported by evidence.
• Provide testimony during enforcement proceedings as needed.
• Stay abreast of changes in securities laws and regulations.

Skills

Following SOPs

Data analysis

Research

Effective communication

Problem solving

Independent work

Regulatory knowledge

Education

Bachelor's or higher in compliance/finance

JD or law degree (optional)

Tools

Excel

Job description

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

Requisition No:883487

Agency: Office of Financial Regulation

Working Title: FINANCIAL CONTROL ANALYST - 43005226

OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY

CLASS TITLE: FINANCIAL CONTROL ANALYST

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: FORT MYERS/ TAMPA

COUNTY: FLEXIBLE

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.

Visit our website at https://www.flofr.gov/aboutus/careers to learn more about the excellent benefits available to OFR employees, including:

• 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 or insurance companies is required. A post-secondary degree may be used as an alternative for years of experience on a year-for-year basis.

Preferences

• Three (3) or more 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.
• 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.

Minimum Qualifications

1. Ability to follow standardized operating procedures.

2. Ability to compile, analyze, and present data.

3. Ability to conduct research.

4. Ability to evaluate complex information.

5. Ability to apply complex laws and regulations to facts

6. Ability to communicate effectively both orally and in writing.

7. Ability to utilize problem solving techniques.

8. Ability to establish and maintain effective working relationships with others.

9. Ability to work independently.

10. Ability to use computer hardware and software.

11. High level of knowledge of Excel

12. High level of knowledge of examination processes.

13. High level of knowledge of preparing written reports supported by evidence

14. High level of knowledge of applicable statutes and administrative rules.

15. High level of knowledge of financial industry practices.

SPECIAL NOTES:

It is the agency’s goal to fill multiple positions with this advertisement.

This position requires approximately 25-50% frequent/overnight travel and a current Driver’s License.

This position requires a security background check, including fingerprint as a condition of employment.

The anticipated salary for this position will be between $70,000.00 and $75,000.00. The salary may be commensurate with experience.

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 required 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

FT MYERS, FL, US, 33901

Nearest Major Market: Fort Myers

Nearest Secondary Market: Cape Coral

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.