Senior Financial Control & Compliance Analyst

Florida; Fort Myers (FL); On-site; USD 74,000 - 80,000; Full time

Benefits offered by this job

Flexible work schedules

Paid holidays and an annual personal/

Paid vacation and sick leave

Health & life insurance options

Dental, vision, disability insurance

Tax deferred medical and DependentCare

Deferred Compensation opportunities

Tuition waivers to attend stateunivers

Retirement plans and options

Public Service Loan Forgiveness

Job summary

The Office of Financial Regulation (OFR) seeks a Financial Control Analyst to conduct complex financial examinations and investigations within the Securities division. The role emphasizes exam skills, regulatory knowledge, and clear written reporting, with up to 50% travel.

Office locations include Fort Myers or Tampa, offering a professional environment and a comprehensive benefits package. Candidates should have 4+ years of relevant experience or a related degree and strong Excel capabilities.

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 or insurance companies is required.
• A post-secondary degree may be used as an alternative for years of experience on a year-for-year basis.
• Three (3) or more years of 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.

Responsibilities

• Conduct examinations or investigations of multiple registrant types including investment advisers and broker-dealers with minimal to no assistance.
• Prepare high-quality examination or investigation reports with findings supported by documentary evidence with little to no assistance.
• Prepares high-quality reports, notes, referrals, and various other documents related to examinations or investigations.
• Communicates information regarding examinations or investigations effectively with agency staff and outside entities.
• Provides testimony during administrative or civil enforcement proceedings as needed.
• Stays abreast of significant changes in securities laws and regulations.
• Assists with the training program for examiners when requested by management.

Skills

Excel

Data analysis

Written reports

Communication

Research

Problem solving

Independent work

Regulatory/compliance knowledge

Financial examinations

Education

Bachelor’s or Master’s in compliance/accounting/finance/economics/business/insurance/risk management

Juris Doctor (JD)

Job description

The Office of Financial Regulation (OFR) seeks a Financial Control Analyst to conduct complex financial examinations and investigations within the Securities division. The role emphasizes exam skills, regulatory knowledge, and clear written reporting, with up to 50% travel.

Office locations include Fort Myers or Tampa, offering a professional environment and a comprehensive benefits package. Candidates should have 4+ years of relevant experience or a related degree and strong Excel capabilities.