Financial Control Analyst
State of Florida
full-time
Posted on:
Location Type: Office
Location: Tampa • Florida • United States
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Salary
💰 $70,000 - $75,000 per year
About the role
- Performs complex examinations and investigations of registered broker-dealers, investment advisers and associated persons to enforce Chapter 517, Florida Statutes, and rules.
- Prepares comprehensive reports detailing results of examinations and investigations and provides testimony under oath during enforcement proceedings when needed.
- Provides guidance to other examiners.
- Stays abreast of significant changes in the securities laws and regulations.
- As requested by Division Management, assists with the training program for examiners.
- Performs other related work as required.
Requirements
- 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 postsecondary degree may be used as an alternative for the years of experience on a year-for-year basis.
- 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.
- 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 a security background check, including fingerprint as a condition of employment.
- This position requires approximately 25-50% frequent/overnight travel and a current Driver’s License.
Benefits
- 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.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
examinationinvestigationauditingregulatory compliancerisk managementfinancial analysisreport writingtestimonytraining
Soft skills
guidancecommunicationorganizational skills
Certifications
Certified Fraud Examiner (CFE)Certified Anti-Money Laundering Specialist (ACAMS)Certified Public Accountant (CPA)