Financial Control Analyst - Compliance & Examinations

My Florida CFO; Fort Myers, Northern (FL, KY); Hybrid; USD 74,000 - 80,000; Full time

Benefits offered by this job

Flexible work schedules

Paid holidays and an annual personal h

Paid vacation and sick leave

Health & life insurance options

Retirement plans and options

Job summary

The Office of Financial Regulation seeks a Financial Control Analyst to perform complex financial examinations and investigations across registrant types, including investment advisers and broker-dealers. The role requires interpreting laws, preparing evidence-based reports, and presenting findings to stakeholders.

Ideal candidates have strong Excel skills, analytical abilities, and experience in risk management or regulatory roles.

Qualifications

• Follow standardized operating procedures.
• Compile, analyze, and present data.
• Conduct research.
• Evaluate complex information.
• Communicate effectively both orally and in writing.

Responsibilities

• Conduct complex financial examinations or investigations.
• Evaluate information for compliance with statutes and rules.
• Prepare high-quality examination or investigation reports with evidence.
• Provide testimony during enforcement proceedings as needed.
• Stay abreast of significant changes in securities laws and regulations.

Skills

Excel

Examination processes

Data analysis

Report writing

Regulatory compliance

Communication

Independent work

Research skills

Problem solving

Education

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

Juris Doctor (JD) degree

Job description

The Office of Financial Regulation seeks a Financial Control Analyst to perform complex financial examinations and investigations across registrant types, including investment advisers and broker-dealers. The role requires interpreting laws, preparing evidence-based reports, and presenting findings to stakeholders.

Ideal candidates have strong Excel skills, analytical abilities, and experience in risk management or regulatory roles.