Financial Specialist

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Requisition No:885218

Agency:
Office of Financial Regulation

Working Title:

FINANCIAL SPECIALIST -

***** OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY*****

CLASS

TITLE:

FINANCIAL SPECIALIST

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: TAMPA

COUNTY: HILLSBOROUGH

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.

Preferences:

• 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.

for this position include the following REQUIRED ENTRY LEVEL

KNOWLEDGE, SKILLS AND ABILITIES:

• 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.
• Ability to convey a positive impression in written and oral communication with excellent vocabulary and…