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Requisition No: 839389
Agency: Office of Financial Regulation
Working Title: AREA FINANCIAL MANAGER - SES - 43004697
*****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY*****
DIVISION: SECURITIES
BUREAU: ENFORCEMENT
CITY: FLEXIBLE
COUNTY: FLEXIBLE
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 operates from five (5) office facilities throughout the state of Florida, including Tallahassee (Headquarters), Miami, Orlando, Tampa, and West Palm Beach. The OFR may consider any of these office locations as the primary reporting office location.
The OFR is a professional office environment with a public service-driven mission.
SPECIAL NOTES:
Requirement: 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 may substitute for the required experience.
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.
- Two (2) years or more of professional experience managing people.
- 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.
This position requires approximately 25-50% frequent/overnight travel and a valid Driver’s License.
This position requires a security background check, including fingerprint as a condition of employment.
The anticipated annual salary range will be from $80,000.00 to $90,000.00. The salary may be commensurate with experience.
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.
- 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.
All applicants seeking employment with the OFR are subject to mandatory background checks conducted through the DFS, Bureau of Human Resource Management in accordance with the requirements of chapter 435, Florida Statutes, and reviews by OFR. Applicants may be disqualified for employment 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:
- Knowledge of managerial techniques.
- Knowledge of financial accounting or auditing principles.
- Knowledge of securities industry rules and regulations.
- Knowledge of the methods of compiling, analyzing, and presenting data.
- Knowledge of evidence collecting and interviewing techniques.
- Knowledge of mathematics.
- Ability to lead and motivate a staff of professionals into an effective team.
- Ability to effectively train and develop staff.
- Ability to review, analyze and evaluate data and to present findings in a clear, concise manner.
- Ability to take initiative and dismiss distractions to solve problems in a timely 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 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 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.
- Ability to adapt to change, remain flexible and deal with multiple competing demands.
BRIEF DESCRIPTION OF DUTIES:
Supervises direct reports including motivating, training, providing guidance and direction. Develops expectations and meets with staff regularly to discuss performance, completes performance reviews and disciplinary action if needed. Monitors leave and attendance, maintains work schedules to ensure proper coverage and completes time sheets. Ensures all staff complete required training and are offered additional training.
Will be proficient in all phases of securities examinations process.
Plans, directs, organizes, and supervises an office staff in a designated geographic area that examines and investigates securities dealers, investment advisers and agents.
Reviews the work product of examiners within an assigned geographic area for accuracy, timeliness, sufficiency, and compliance with OFR policies and procedures.
Recruits, hires, trains, and motivates office staff. Responsible for formulating and assisting in the formulation of policies and procedures relating to personnel administration.
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.
For assistance, call the People First Service Center at (877) 562-7287 Monday - Friday, 8:00 a.m. to 6:00 p.m., Eastern time.
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