FINANCIAL SPECIALIST - 43001939

Florida; Tampa (FL); Presencial; USD 65.000 - 71.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Flexible work schedules

Paid holidays and personal holidays

Paid vacation and sick leave

Health & life insurance

Retirement plans

Tuition waivers

Public Service Loan Forgiveness

Deferred Compensation opportunities

Descripción de la vacante

The Office of Financial Regulation in Tampa is seeking a Financial Specialist to support examinations within the Securities Division of the Enforcement Bureau. You will review financial data, prepare detailed reports, and help ensure compliance with Florida statutes and related rules.

Applicants should have 4+ years of regulatory or compliance experience in securities or financial services, with a degree in a related field preferred.

Formación

• Four or more years of professional examination, regulatory or compliance work experience related to securities, financial institutions or insurance is required.
• A post-secondary degree may be used as an alternative for years of experience on a year-for-year basis.

Responsabilidades

• Performs preliminary inquiries, examinations and investigations of broker/dealers, investment advisers and related entities to ensure compliance with Florida statutes and rules.
• Researches and analyzes consumer inquiries; handles special projects to ensure compliance with securities laws and regulations.
• Prepare written examination reports and respond to inquiries from broker/dealers, investment advisers and agents.

Conocimientos

Regulatory/compliance knowledge

Financial accounting knowledge

Data analysis

Interviewing techniques

Analytical thinking

Communication skills

Ability to work under pressure

Educación

Bachelor’s or Master’s degree in compliance/finance/economics/business/insurance

Juris Doctor degree (JD)

Descripción del empleo

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

Requisition No:885218

Agency: Office of Financial Regulation

Working Title: FINANCIAL SPECIALIST - 43001939

*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY*****

CLASS TITLE: FINANCIAL SPECIALIST

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: TAMPA

COUNTY: HILLSBOROUGH

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 may be used as an alternative for years of experience on a year-for-year basis.

Preferences:

• 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.

Minimum Qualifications

for this position include the following REQUIRED ENTRY LEVEL KNOWLEDGE, SKILLS AND ABILITIES:

• Knowledge of financial accounting or auditing principals.
• Knowledge of securities industry rules and regulations.
• Knowledge of the methods of organizing, compiling, analyzing, and presenting data.
• Knowledge of evidence collecting and interviewing techniques.
• Ability to review, analyze and evaluate data and to prevent findings in a clear, concise 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 products 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.

SPECIAL NOTES:

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 will be between $65,000.00 and $71,000.00. The salary may be commensurate with experience. This position may include the addition of a Competitive Area Differential (CAD) of $105.73 monthly/$1,268.76 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:

Duties include, but are not limited to:

Performs preliminary inquiries and compliance examinations and investigations of securities broker/dealers, agents, issuers, issuer/dealers, investment advisers and unregistered entities to determine compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated thereunder. Prepare written reports detailing the results of these examinations and investigations.

Researches, analyzes, and investigates consumer complaints and inquiries by telephone, written communication, and on-site visitation when necessary. Handles assigned special projects designed to ensure compliance with the Florida Securities and Investor Protection Act and associated rules.

Answers correspondence and telephone requests with respect to broker/dealers, investment advisers and agents. Performs other related work 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.

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.