Securities Compliance Examiner (Regulatory)

FLOFR; Tampa (FL); Hybride; USD 65 000 - 71 000; Plein temps

Avantages offerts par ce poste

Health insurance

Life insurance

Paid holidays

Vacation & sick leave

Tuition waiver

Retirement plans

Résumé du poste

Office of Financial Regulation in Florida seeks a Financial Specialist to conduct examinations and investigations of securities broker/dealers, investment advisers, and related entities to ensure compliance with state laws. The role involves preparing reports detailing findings and working with stakeholders across divisions.

The position requires knowledge of accounting, securities rules, and data analysis, plus strong interviewing and research abilities.

Qualifications

• 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.

Responsabilités

• 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.
• 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.

Connaissances

Accounting knowledge

Securities rules

Data analysis

Evidence collection

Interview techniques

Written communication

Relationship building

Regulatory understanding

Research

Formation

Bachelor's degree

Juris Doctor

Description du poste

Office of Financial Regulation in Florida seeks a Financial Specialist to conduct examinations and investigations of securities broker/dealers, investment advisers, and related entities to ensure compliance with state laws. The role involves preparing reports detailing findings and working with stakeholders across divisions.

The position requires knowledge of accounting, securities rules, and data analysis, plus strong interviewing and research abilities.