Financial Control Analyst

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Requisition No:882279

Agency:
Office of Financial Regulation

Working Title:

FINANCIAL CONTROL ANALYST -

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

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.

• 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.

• Ability to follow standardized operating procedures.
• Ability to compile, analyze, and present data.
• Ability to conduct research.
• Ability to evaluate complex information.
• Ability to apply complex laws and regulations to facts
• Ability to communicate effectively both orally and in writing.
• Ability to utilize problem solving techniques.
• Ability to establish and maintain effective working relationships with others.
• Ability to work independently.
• Ability to use computer hardware and software.
• High level of knowledge of Excel
• High level of knowledge of examination processes.
• High level of knowledge of preparing written reports supported by evidence
• High level of knowledge of applicable statutes and administrative rules.
• High level of knowledge of financial industry practices.

This position requires approximately 25-50% frequent/overnight travel and a current Driver’s License.

This position requires a security background check, including fingerprint as a condition of employment.

The anticipated salary for this position will be between $70,000.00 and $75,000.00. The salary may be commensurate with experience. This position may include the addition of a Competitive Area Differential (CAD) of $105.73 monthly/$1268.76 annually (Miami/WPB) or $53.73 monthly/$644.76 annually (Tampa), if applicable.

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