FINANCIAL INVESTIGATOR-CRIMINAL ENFORCE - 43004823

Requisition No: 825559 

Agency: Office of Financial Regulation

Working Title: FINANCIAL INVESTIGATOR-CRIMINAL ENFORCE - 43004823

 Pay Plan: Career Service

Position Number: 43004823 

Salary:  $55,000.00 (plus CAD ) 

Posting Closing Date: 05/02/2024 

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

DIVISION: FINANCIAL REGULATION

BUREAU: FINANCIAL INVESTIGATIONS

CITY: MIAMI

COUNTY: MIAMI-DADE, PALM BEACH, BROWARD, MONROE

ABOUT THE AGENCY:

The Florida Office of Financial Regulation (OFR) provides regulatory oversight for Florida’s financial services industry.  The OFR is organized into five areas: Executive Direction, Division of Financial Institutions, Division of Consumer Finance, Division of Securities, and Bureau of Financial Investigations (BFI).  The programs oversee and regulate a wide range of financial enterprises and individuals, such as: securities industry participants, money transmitters, consumer finance companies, mortgage loan originators, foreign currency exchangers, payday lenders, state-chartered banks, and state-chartered credit unions.  The OFR’s agency head, known as the Commissioner, is appointed by the Financial Services Commission, which is comprised of the Governor, the Attorney General, the Chief Financial Officer, and the Commissioner of Agriculture.

ABOUT THE POSITION:

The Financial Investigator – Criminal Enforcement (FI-CE) position is a senior level investigator within the BFI that conducts criminal, administrative, and civil investigations under the regulatory jurisdiction of the OFR.  BFI cases are prosecuted in state and federal courts.  Applicants must have adequate experience conducting fraud and/or financial investigations and/or examinations and presenting complex case findings to criminal and administrative prosecutors.  Candidates must have professional experience other than or aside from Bank Secrecy Act (BSA) or Anti Money Laundering (AML) experience within a financial institution to be considered for this position.

This position reports to the Miami Investigations Manager. 

SPECIAL NOTES:

This position is being advertised in multiple counties. This position may also be eligible for field work opportunities (combination of in-office work and field). Field work is subject to management approval and may be rescinded at any time. The selected candidate’s in-office work location will be the Tampa Regional Office. Office hours are M-F / 8 am to 5 pm, with a 1-hour unpaid lunch. However, a flexible work schedule may be available. This position requires some travel, including overnight travel for training and conducting field work (interviews, surveillance, subpoena service, etc.). Approximately 25% of time is spent in the field. The OFR does not offer state issued vehicles to its employees. Employees are required to travel using their personal vehicle with a mileage reimbursement of 44.5¢ a mile or a rental car that is paid for by the state. A state cell phone is not issued with this position.

Requirements:

Category 1

• A high proficiency with the Microsoft Office Suite (Excel, Word, PowerPoint, and Outlook).
• At least 8 years of recent professional experience drafting case summaries.
• At least 8 years of recent professional experience preparing subpoenas for issuance.
• At least 8 years of recent professional experience collecting and documenting evidence.
• At least 8 years of recent professional experience conducting open-source research.
• At least 8 years of recent professional experience interviewing suspects, victims, and witnesses.
• At least 8 years of recent professional experience drafting memoranda of interviews.
• At least 8 years of recent professional experience analyzing bank and/or brokerage records for evidence of financial crimes.
• At least 8 years of recent professional experience analyzing business records.
• At least 8 years of recent professional experience drafting probable cause affidavits.
• At least 8 years of recent professional experience drafting comprehensive reports of investigation.
• At least 8 years of recent professional experience developing joint investigations with law enforcement and regulatory agencies.
• At least 8 years of recent professional experience presenting complex case findings to criminal and administrative prosecutors.

AND

• 8 or more years of recent professional experience conducting complex fraud and/or financial investigations in a sworn or non-sworn law enforcement capacity.

OR

Category 2

• A bachelor’s degree from an accredited college or university.
• A high proficiency with the Microsoft Office Suite (Excel, Word, PowerPoint, and Outlook).
• At least 4 years of recent professional experience drafting case summaries.
• At least 4 years of recent professional experience preparing subpoenas for issuance.
• At least 4 years of recent professional experience collecting and documenting evidence.
• At least 4 years of recent professional experience conducting open-source research.
• At least 4 years of recent professional experience interviewing suspects, victims, and witnesses.
• At least 4 years of recent professional experience drafting memoranda of interviews.
• At least 4 years of recent professional experience analyzing bank and/or brokerage records for evidence of financial crimes.
• At least 4 years of recent professional experience analyzing business records.
• At least 4 years of recent professional experience drafting probable cause affidavits.
• At least 4 years of recent professional experience drafting comprehensive reports of investigation.
• At least 4 years of recent professional experience developing joint investigations with law enforcement and regulatory agencies.
• At least 4 years of recent professional experience presenting complex case findings to criminal and administrative prosecutors.

AND

• 4 or more years of recent professional experience conducting complex fraud and/or financial investigations in a sworn or non-sworn law enforcement capacity.

OR

• 4 or more years of recent professional experience conducting complex fraud and/or financial examinations in a regulatory capacity.

OR

Category 3

• A master’s degree from an accredited college or university.
• A high proficiency with the Microsoft Office Suite (Excel, Word, PowerPoint, and Outlook).
• At least 3 years of recent professional experience drafting case summaries.
• At least 3 years of recent professional experience preparing subpoenas for issuance.
• At least 3 years of recent professional experience collecting and documenting evidence.
• At least 3 years of recent professional experience conducting open-source research.
• At least 3 years of recent professional experience interviewing suspects, victims, and witnesses.
• At least 3 years of recent professional experience drafting memoranda of interviews.
• At least 3 years of recent professional experience analyzing bank and/or brokerage records for evidence of financial crimes.
• At least 3 years of recent professional experience analyzing business records.
• At least 3 years of recent professional experience drafting probable cause affidavits.
• At least 3 years of recent professional experience drafting comprehensive reports of investigation.
• At least 3 years of recent professional experience developing joint investigations with law enforcement and regulatory agencies.
• At least 3 years of recent professional experience presenting complex case findings to criminal and administrative prosecutors.

AND

• 3 or more years of recent professional experience conducting complex fraud and/or financial investigations in a sworn or non-sworn law enforcement capacity.

OR

• 3 or more years of recent professional experience conducting complex fraud and/or financial examinations in a regulatory capacity.

Some of the excellent benefits available to Office of Financial Regulation (OFR) employees include:

• Field work opportunities for certain positions.
• Flexible work schedules for certain 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.

WORK LOCATION:

401 NW 2nd Avenue Suite N-708

Miami, FL 33128

SALARY:

Qualified candidates are normally hired at a salary of $55,000.00 and may be eligible for a competitive area differential (CAD) pay. OFR Employees are paid on a monthly pay cycle.

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

All applicants seeking employment with the Office of Financial Regulation (OFR) are subject to mandatory background checks conducted through the Department of Financial Services (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 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 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:

1. Ability to conduct complex fraud and/or financial investigations.
2. Ability to draft case summaries.
3. Ability to draft subpoena language for issuance.
4. Ability to collect and document evidence.
5. Ability to conduct open-source research.
6. Ability to effectively interview suspects, victims, and witnesses.
7. Ability to draft memorandums of interview.
8. Ability to analyze bank records.
9. Ability to analyze business records.
10. Ability to draft probable cause affidavits.
11. Ability to draft comprehensive reports of investigation.
12. Ability to organize and prepare exhibits within probable cause affidavits and reports of investigation.
13. Ability to work joint investigations with other law enforcement and regulatory agencies.
14. Ability to present complex case findings to criminal and administrative prosecutors.
15. Ability to assist prosecutors with trial preparations.
16. Ability to testify in judicial and quasi-judicial proceedings.
17. Ability to meet strict deadlines.
18. Ability to communicate effectively.
19. Ability to apply limited resources to achieve defined goals.

BRIEF DESCRIPTION OF DUTIES:

As a Senior Level Investigator under the direct supervision of the Area Financial Manager (working title: Investigations Manager), the Financial Investigator – Criminal Enforcement (FI-CE) conducts the most complex financial investigations into allegations of criminal, fraudulent or unlicensed activity within the regulatory jurisdiction of the Office of Financial Regulation.

Duties include, but are not limited to:

1. Conducting investigations into alleged or suspected wrongdoing.
2. Developing investigative plans to expedite the collection of evidence and the prosecution of violators.
3. Interviewing witnesses, victims and suspects regarding alleged violations and documents interviews commensurate with evidence requirements.  Takes sworn statements as appropriate.
4. Obtaining subpoenas, reviews, and analyzes books and records.  Gives testimony in administrative, civil, and criminal cases.
5. Conducting analysis of complex financial records.
6. Writing detailed reports and prepares exhibits for use by Office attorneys and criminal prosecutors.
7. Acting as liaison with local representatives of law enforcement and regulatory agencies and conducts joint investigations with same.
8. Serving as Lead Investigator and assisting Investigations Manager with investigator training as required.
9. Maintaining technical investigative proficiency; and high ethical standards.
10. Traveling as required and handling other duties 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.

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.