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Date: Nov 8, 2019

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Requisition No: 85507 

Agency: Financial Services

Working Title: FINANCIAL SPECIALIST - 43004905

Position Number: 43004905 

Salary:  $43,507.36 - $85,867.20 

Posting Closing Date: 11/26/2019 





A bachelor's degree or higher from an accredited college or university is required.    

Preference will be given to applicants with the following: 

  • Two (2) or more years' Financial Analyst Examiner experience.
  • Two (2) or more years’ experience in reviewing Financial Statements pursuant to United States generally accepted accounting principles (GAAP) for registrants.
  • Active Certified Public Accountant license in good standing.

This position requires a security background check, including fingerprint as a condition of employment. 

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 Office of Financial Regulation (OFR) are subject to mandatory background checks conducted through the Department of Financial Service (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. 

Minimum Qualifications for this position include the following REQUIRED ENTRY LEVEL KNOWLEDGE, SKILLS AND ABILITIES:

  • Knowledge of financial accounting and auditing in accordance with United States generally accepted accounting principles(GAAP).
  • Knowledge of the methods of organizing, compiling, analyzing and presenting data.
  • Ability to review, analyze and evaluate data and to present findings in a clear, concise, and timely manner.
  • Ability to understand and apply laws, rules, regulations, policies and procedures.
  • Ability to conduct research and prepare thoroughly documented reports.
  • Ability to utilize problem-solving techniques.
  • Ability to establish and maintain effective working relationships with others.
  • Ability to recognize the validity, authenticity and propriety of accounting and operating records.
  • Ability to effectively use computer hardware and software.
  • Ability to work under pressure and be results oriented.
  • Ability to probe and obtain critical facts from cooperative and uncooperative registrants.
  • 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.

Review Financial Statements filed with the OFR to ensure compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated thereunder and United States generally accepted accounting principles (GAAP).  Confer with registrants during the financial statement review process.  Provide guidance to Division of Securities staff as required. 

Full responsibility for the management and oversight of the Investment Adviser financial statement review process to include the receipt, uploading, and transaction assignment of the received financial statements, the issuance of deficiency and delinquency notices as needed, follow-up procedures for failure to respond, and the timely notification to the Registrants of the filing requirement due dates and consequences of failure to file.  The incumbent will also coordinate with the legal staff when administrative action is warranted.

Oversee workflow and reviews work product of staff that may assist. 

Provide written opinions on financial soundness and GAAP compliance of registrant business operations, when necessary.

Provide expert testimony and guidance to management and staff regarding testimony on financial soundness and GAAP compliance of registrant business operations in hearings, as needed.

Provide feedback to Division of Securities management, and Legal Staff on registrant’s financial soundness. 

Provide training and specific guidance to Division of Securities staff regarding the review of financial statements to ensure compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated thereunder. 

Perform other job duties and 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.

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.  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. 

Nearest Major Market: Tallahassee