Regulatory Finance Examiner — Complex Examinations

My Florida CFO; West Palm Beach, Northern (FL, KY); Hybrid; USD 70,000 - 75,000; Full time

Benefits offered by this job

Flexible work schedules

Paid holidays

Health & life insurance

Retirement benefits

Job summary

Office of Financial Regulation in Florida seeks a seasoned examiner/regulator to conduct complex financial examinations and investigations across investment advisers, broker‑dealers, and financial institutions. The role requires rigorous data analysis, reporting, and testimony support.

Candidates should have 4+ years in regulated environments, strong Excel skills, and a background in compliance or accounting. Travel up to 50% and a background check are required.

Qualifications

• 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 or equivalent experience.
• Bachelor’s or JD preferred for years of experience.
• Three (3) or more years of experience analyzing, investigating, examining, or auditing in securities, banking, or insurance industries.
• Experience in risk management, compliance, operations, or front office of an investment adviser or broker-dealer.
• Licenses or certifications such as CFE, ACAMS, or CPA are a plus.

Responsibilities

• Conduct complex examinations or investigations of multiple registrant types with minimal supervision.
• Evaluate complex information in business records for compliance with laws and rules.
• Prepare high-quality examination/investigation reports with documentary evidence.
• Communicate findings effectively with agency staff and external entities.
• Provide testimony in enforcement proceedings as needed.
• Stay updated on changes in securities laws and regulations.

Skills

Regulatory compliance

Data analysis

Examinations & audits

Report writing

Oral & written communication

Independent work

Education

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

Juris Doctor (JD)

Tools

Excel

Job description

Office of Financial Regulation in Florida seeks a seasoned examiner/regulator to conduct complex financial examinations and investigations across investment advisers, broker‑dealers, and financial institutions. The role requires rigorous data analysis, reporting, and testimony support.

Candidates should have 4+ years in regulated environments, strong Excel skills, and a background in compliance or accounting. Travel up to 50% and a background check are required.