Requisition No: 798753
Agency: Financial Services
Working Title: AREA FINANCIAL MANAGER – SES – 43004697 (OFFICE OF FINANCIAL REGULATION)
Position Number: 43004697
Salary: $70,000.00 – $78,000.00
Posting Closing Date: 04/25/2023
****OPEN COMPETITIVE EMPLOYMENT OPPORTUNITY****
OFFICE OF FINANCIAL REGULATION
DIVISION: SECURITIES
BUREAU: ENFORCEMENT
CITY: TALLAHASSEE
COUNTY: LEON
SPECIAL NOTES:
A bachelor’s degree or higher from an accredited college or university is required
Preference will be given for any of the following:
- A bachelor’s degree from an accredited college or university with a major course of study in accounting, finance, business administration, or economics.
- Three (3) years or more of professional experience auditing, examining, analyzing, or investigating within the banking, insurance, mortgage, or securities industry; or similar experience in another industry subject to a complex regulatory scheme.
- A master’s degree from an accredited college or university with a major course of study in accounting, finance, business administration, or economics can substitute for one (1) year of experience.
- Two (2) years or more of professional experience managing people.
The selected candidate for this position will be required to report to the Tallahassee office.
A writing sample may be requested.
Valid driver’s license is required. Travel is required up to 50% of the time.
The anticipated annual salary range will be from $70,000.00 to $78,000.00. The salary may be commensurate with experience.
Employees of the Department of Financial Services are paid on a monthly pay cycle.
Candidates should expect a professional office environment with a public service driven mission.
Benefits include competitive health insurance, State of Florida retirement options, and a flexible work/life balance.
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 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
This position requires a security background check, including fingerprint as a condition of employment.
It is the policy of the Office of Financial Regulation that any applicant being considered for employment must successfully complete a State and National criminal history check as a condition of employment before beginning employment, and, if applicable, also be screened in accordance with the requirements of Chapter 435, F.S., and Chapter 408, F.S.
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.
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.
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 timesheets. 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 the operations of registered and unregistered dealers, agents, issuers, promoters, and investment advisers in accordance with State and Agency policies and procedures.
Reviews the work product of all examiners, analysts, and supervisors within an assigned geographic area for accuracy, timeliness, sufficiency, and compliance with OFR policies and procedures.
Assists with preliminary inquiries, compliance and enforcement examinations and customer complaint reviews as needed. Conducts compliance and enforcement examinations and customer complaint reviews on an interim basis due to changing priorities in the office or turnover of examinations staff.
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.