Securities Compliance Specialist - Enforcement

Florida; Tampa (FL); On-site; USD 65,000 - 71,000; Full time

Benefits offered by this job

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

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Regulatory/compliance knowledge

Financial accounting knowledge

Data analysis

Interviewing techniques

Analytical thinking

Communication skills

Ability to work under pressure

Education

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

Juris Doctor degree (JD)

Job description

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.