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Posted: Friday, September 1, 2017 3:06 PM

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Requisition No:19257

Agency: Financial Services


Position Number:43004852

Salary: $38,660.16 - $75,074.28

Posting Closing Date: 09/08/2017







Abachelor's degree or higherfrom an accredited college or university is required.

Preference will be given toapplicants with the following:

  • Bachelors degree or higher from an accredited college or university with a major in accounting, finance, business administration, economics, insurance or risk management, and one (1) or more years of recent professional experience in accounting, examining, analyzing, investigating or auditing financial data within the banking, insurance, mortgage or securities industry compliance, supervision of securities industry personnel or regulations of securities industry; or similar experience in another industry subject to a complex regulatory review.

Masters degree from an accredited college or university with a major in finance, economics, accounting or business administration.

A writing sample may be requested.

A valid driver's license is required.Some travel required.

The base annual salary for this position is $38,660.16

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

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

Responses toqualifying questions must be clearly supported by the state application andany omission, falsification or misrepresentation in the answering of the qualifying questions will be cause for immediate elimination from theselection process.

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 OFRs review process.

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

  • Knowledge of financial accounting or auditing principles.
  • Knowledge of mathematics.
  • 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 present 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 grammatical skills.
  • Ability to establish and maintain effective working relationships with others.
  • Ability to recognize the validity, authenticity and propriety of accounting and operating records.
  • Ability to deliver work product with a high degree of accuracy and precision.
  • Ability to deliver public remarks clearly and confidently and to testify under oath in hearings or trials.
  • Ability to effectively use computer hardware and software.


Performs preliminary inquiries and compliance examinations and investigations of securities broker/dealers, agents, issuers, issuer/dealers, investment advisers and unregistered entities to determine compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated there under. Prepares written reports detailing the results of these examinations and investigations.

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

Handles assigned special projects designed to ensure compliance with 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), pleasecheck 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 maybe canceled, suspended or deemed ineligible depending upon the date of yourretirement.

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.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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• Location: Miami

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