Job Description

Requisition No: 838061 

Agency: Office of Financial Regulation

Working Title: FINANCIAL SPECIALIST - 43004529

 Pay Plan: Career Service

Position Number: 43004529 

Salary: $62,000.00 - $67,500.00 (plus $644.76 CAD) 

Posting Closing Date: 10/10/2024 

Total Compensation Estimator 

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

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: TAMPA

COUNTY: HILLSBOROUGH

SPECIAL NOTES:

Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers, financial institutions, financial services companies, insurance companies is required . A bachelor’s degree from an accredited college or university can substitute for the required experience.

Preference :

• 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.

A writing sample may be requested.

This position requires a current driver’s license and a security background check including fingerprinting as a condition of employment.

Travel is required up to 25-50% of the time.

Candidates should expect a professional office environment with a public service driven mission.

The anticipated salary for this position will be between $62,000.00 and $67,500.00. The salary may be commensurate with experience. This position may include the addition of a Competitive Area Differential (CAD) of $105.73 monthly/$1268.80 annually (Miami/WPB) or $53.73 monthly/$644.80 annually (Tampa), if applicable.

Employees of the Department of Financial Services are paid on a monthly pay cycle.

Responses to qualifying questions must be clearly supported by the state application and any omission, falsification, or misrepresentation in the answering of the qualifying questions will be cause for immediate elimination from the selection process.

Some of the excellent benefits available to Office of Financial Regulation (OFR) employees, include:

• 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.
• Additional supplemental insurances are available such as dental, vision, disability, etc.
• 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.

All applicants seeking employment with the Office of Financial Regulation (OFR) are subject to mandatory background checks conducted through the Department of Financial Service (DFS), Bureau of Human Resource Management in accordance with the requirements of Chapter 435, F.S. and reviews by OFR. Applicants may be disqualified for employment with OFR based on the information that may be obtained through research and/or OFR’s review process.

No applicant may begin employment until the background screening results are received, reviewed for any disqualifying offenses, and approved by the Agency. Background screening shall include, but not be limited to, fingerprinting for State and Federal criminal records checks through the Florida Department of Law Enforcement (FDLE) and Federal Bureau of Investigation (FBI) and may include local criminal history checks through local law enforcement agencies.

Minimum Qualifications for this position include the following REQUIRED ENTRY LEVEL KNOWLEDGE, SKILLS, AND ABILITIES:

1. Knowledge of financial accounting or auditing principles.
2. Knowledge of securities industry rules and regulations.
3. Knowledge of the methods of organizing, compiling, analyzing, and presenting data.
4. Knowledge of evidence collecting and interviewing techniques.
5. Ability to review, analyze and evaluate data and to present findings in a clear, concise manner.
6. Ability to work under pressure and be results oriented.
7. Ability to understand and apply complex laws, rules, regulations, contracts, policies, and procedures.
8. Ability to conduct research and prepare thoroughly documented examination reports.
9. Ability to probe and obtain critical facts from cooperative and uncooperative witnesses.
10. Ability to manage assignments and meet deadlines with limited supervision.
11. Ability to convey a positive impression in written and oral communication with excellent vocabulary and grammatical skills.
12. Ability to establish and maintain effective working relationships with others.
13. Ability to recognize the validity, authenticity, and propriety of accounting and operating records.
14. Ability to deliver work product with a high degree of accuracy and precision.
15. Ability to deliver public remarks clearly and confidently and to testify under oath in hearings or trials.
16. Ability to effectively use computer hardware and software.

BRIEF DESCRIPTION OF DUTIES :

Performs preliminary inquiries and complex regulatory examinations of securities dealers, investment advisers, and agents to determine compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated thereunder. Prepares written reports detailing the results of these examinations. Takes on-the-record testimony in enforcement investigations and provides witness testimony during enforcement proceedings.

Researches, analyzes, and investigates consumer complaints and inquiries by telephone, written communication, and on-site visitation when necessary.

Handles assigned special projects relating to 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.

If you are a retiree of the Florida Retirement System (FRS), please check with the FRS on how your current benefits will be affected if you are re-employed with the State of Florida. Your current retirement benefits may be canceled, suspended, or deemed ineligible depending upon the date of your retirement.

The State of Florida is an Equal Opportunity Employer/Affirmative Action Employer, and does not tolerate discrimination or violence in the workplace.

Candidates requiring a reasonable accommodation, as defined by the Americans with Disabilities Act, must notify the agency hiring authority and/or People First Service Center (1-866-663-4735). Notification to the hiring authority must be made in advance to allow sufficient time to provide the accommodation.

The State of Florida supports a Drug-Free workplace. All employees are subject to reasonable suspicion drug testing in accordance with Section 112.0455, F.S., Drug-Free Workplace Act.

VETERANS’ PREFERENCE. Pursuant to Chapter 295, Florida Statutes, candidates eligible for Veterans’ Preference will receive preference in employment for Career Service vacancies and are encouraged to apply. Certain service members may be eligible to receive waivers for postsecondary educational requirements. Candidates claiming Veterans’ Preference must attach supporting documentation with each submission that includes character of service (for example, DD Form 214 Member Copy #4) along with any other documentation as required by Rule 55A-7, Florida Administrative Code. Veterans’ Preference documentation requirements are available by clicking here . All documentation is due by the close of the vacancy announcement. 

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