Job Description

Requisition No: 840185 

Agency: Office of Financial Regulation

Working Title: GOVERNMENT ANALYST II - 43004796

 Pay Plan: Career Service

Position Number: 43004796 

Salary: $65,000.00 - $75,000.00 

Posting Closing Date: 11/19/2024 

Total Compensation Estimator 

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

DIVISION: SECURITIES

BUREAU: ENFORCEMENT

CITY: FLEXIBLE

COUNTY: FLEXIBLE

SPECIAL NOTES:

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 .

Visit our website at to learn more about the excellent benefits available to OFR employees, including:

• • 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 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.
  • Public Service Loan Forgiveness program.

Requirements:

• Three (3) or more years of professional experience providing training for a corporation's or government agency’s training program including experience overseeing and designing all aspects of a complex subject matter training program, identifying, and creating training content, proficiently delivering in-person and virtual group training presentations, and providing hands-on small group or one-on-one training and coaching sessions.
• Three (3) or more years of professional experience in securities regulation, compliance, or risk management, or past or current holder of securities industry licenses or certifications, OR three (3) or more years of recent professional experience in analyzing, investigating, examining, or auditing within the securities industry, including similar experience within federal or state government.
• Intermediate knowledge of Microsoft, PowerPoint, and Excel.

Preferences:

• A bachelor's degree or master's degree from an accredited college or university with a major course of study in compliance, finance, risk management or individuals with a juris doctor degree from an accredited law school.
• Two (2) or more years of recent professional experience providing training related to the securities industry.
• Applicants who currently hold or have ever held securities industry licenses or certifications.

This position requires 25 - 50% frequent/overnight travel and a valid driver's license. 

The anticipated salary for this position will be between $65,000.00 and $75,000.00. The salary may be commensurate with experience. This position may include the addition of a Competitive Area Differential (CAD) of $104.00 monthly/$1248.00 annually (Miami/WPB). CAD is not eligible in other OFR office locations for this specific position.

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.

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:

1. Knowledge of financial accounting or auditing principles.
2. Knowledge of securities industry rules and regulations.
3. Knowledge of the methods of compiling, analyzing, and presenting data.
4. Knowledge of evidence collecting and interviewing techniques.
5. Knowledge of mathematics
6. Ability to coordinate training programs.
7. Ability to provide technical assistance, consultative services and direction for development, implementation, evaluation, and expansion of programs of service in public agencies and local governments.
8. Ability to plan, coordinate and/or presents statewide and regional conferences, meetings, and workshops.
9. Ability to analyze data gathered and develops solutions or alternative methods of proceeding.
10. Ability to communicate effectively.
11. Ability to work independently.
12. Ability to confer with management/personnel concerned to ensure successful functioning of newly implemented systems or procedures.
13. Ability to effectively use computer hardware and software.
14. Ability to consult with federal, state, and local officials on matters applicable to the assigned area of specialization.
15. Ability to conduct or carrying out work procedures and activities in accord with one's own ideas or information provided through directions/instructions for purposes of installing, modifying, preparing, delivering, constructing, integrating, finishing, or completing programs, systems, structures, or products.
16. Ability to develop plans to accomplish work and prioritizing and organizing one's own work.
17. Ability to listen to what other people are saying and asking questions as appropriate.
18. Ability to develop approaches for implementing an idea or plan.
19. Ability to review, analyze and evaluate data and to present findings in a clear, concise manner.
20. Ability to work under pressure and be results oriented.
21. Ability to understand and apply complex laws, rules, regulations, contracts, policies, and procedures.
22. Ability to conduct research and prepare thoroughly documented examination reports.
23. Ability to probe and obtain critical facts from cooperative and uncooperative witnesses.
24. Ability to manage assignments and meet deadlines with limited supervision.
25. Ability to convey a positive impression in written and oral communication with excellent vocabulary and grammatical skills.
26. Ability to establish and maintain effective working relationships with others.
27. Ability to recognize the validity, authenticity, and propriety of accounting and operating records.
28. Ability to deliver work product with a high degree of accuracy and precision.
29. Ability to deliver public remarks clearly and confidently and to testify under oath in hearings or trials.

BRIEF DESCRIPTION OF DUTIES :

Subject matter expert and resource for Bureau of Enforcement staff relating to securities regulations, securities industry compliance and operations and conducting examinations and/or investigations. Engages in ongoing self-learning to develop, enhance, and maintain subject matter expertise by reviewing securities regulations, regulatory guidance, securities industry information and third-party training.

Works closely with Sr. Management to develop, maintain, and update the Bureau of Enforcement’s training program. This includes creating and implementing an annual training plan for new and existing staff, arranging for, or creating and delivering group training sessions, hands on one-on-one training sessions, reviewing examiner work product and providing coaching feedback, creating, and maintaining a training library with research materials, developing tools such templates, checklists, spreadsheets, and reference guides, and tracking all training.

Responsible for planning annual Bureau of Enforcement in-person training meeting.

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.

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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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