Position Responsibilities

 

Note: The examples of work performed are not necessarily descriptive of any one position. The omission of specific statements does not preclude management from assigning specific duties not listed herein.

Administrative

Includes the following positions (Accountant I, Administrative Assistant I, II and III, Administrative Secretary, Document Specialist, Executive Assistant, Records Technician, Secretary Specialist, Senior Clerk and Staff Assistant)

Examples of work preformed are listed below:

• Accounting work involving the application of professional accounting techniques to a variety of fiscal transactions.
• Assisting management with human resources, training, budget and financial matters.
• Answering, screening and referring telephone calls.
• Greeting visitors.
• Opening and distributing mail.
• Handling basic maintenance of standard office equipment.
• Preparing and proofreading correspondence and legal documents.
• Making travel arrangement.
• Coordinating and scheduling meetings.
• Typing and formatting of basic documents.
• Use of standard software (Word, Excel, PowerPoint) programs.
• Data entry.
• Maintaining inventory and ordering office supplies.
• Record management and maintaining record management improvement/control programs.
• Assisting with public records requests.

Analyst

Includes the following positions (Computer Audit Analyst, Financial Examiner/Analyst I, Financial Examiner/Analyst II, Financial Specialist, Financial Examiner/Analyst Supervisor, Financial Control Analyst, Government Analyst I, Senior Management Analyst I, Senior Management Analyst II, and Senior Management Analyst Supervisor)

Examples of work preformed are listed below:

• Analyzing and evaluating applications for registration or licensure of: state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency.
• Analyzing financial information for use in making regulatory decisions.
• Professional and technical work involving highly specialized knowledge of accounting and accounting systems/computer and computer systems.
• Providing management consultant services and assistance in order to improve operational procedures.
• Performing analyses, evaluations and audits of reports and records of state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency; to ensure compliance with statutes.
• Performing financial quality control functions of state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency; within and between area offices, including reviewing and evaluating reports of examinations.
• Preparing reports of recommendations.
• Representing the organization to the public, state and federal government.
• Interpreting regulations and polices of the agency; including state and federal statutes and administrative rules.
• Supervising agency staff; primarily communicating with, motivating, training and evaluating employees, and planning and directing their work.

Attorney

Includes the following positions (Attorney, Senior Attorney, Attorney Supervisor)

Examples of work preformed are listed below:

• Renders legal advice and counsel to agency personnel on agency policies and regulations.
• Engages in litigation in the areas of the law regarding issues within or related to: state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies and other industries regulated by the agency.
• Provides interpretive opinions relating to statutory and rule authority, including legal opinions and declaratory statements.
• Drafts and promulgates administrative rules and litigates rule challenges.
• Defends challenges to regulatory decisions.
• Supervises legal staff and attorneys; primarily communicating with, motivating, training and evaluating employees, and planning and directing their work.

Examiner

Includes the following positions (Financial Examiner/Analyst I, Financial Examiner/Analyst II, Financial Specialist, Financial Control Analyst and Financial Examiner/Analyst Supervisor)

Examples of work preformed are listed below:

• Performing routine examinations of state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency; for the purpose of or the purpose of determining compliance with Florida Statutes and related rules and regulations.
• Performing analyses, evaluations and audits of reports and records of state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency; to ensure compliance with statutes.
• Performing financial quality control functions of state charted financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency; within and between area offices, including reviewing and evaluating reports of examinations.
• Coordinating the completion of examinations to ensure reports are prepared according to quality control standards.
• Developing and implementing on-the-job training programs to support examination or investigation personnel. Supervising examination staff; primarily communicating with, motivating, training and evaluating employees, and planning and directing their work.

MINIMUM QUALIFICATIONS

Financial Examiner Analyst I *

• A bachelor's degree from an accredited college or university with major course of study in accounting, finance, economics, insurance, or risk management.
• Experience in accounting, examining, analyzing or auditing financial data within a financial institution, insurance company or other regulated entity, or in the registration of securities or securities dealers can substitute on a year-for-year basis for the required college education.

Financial Examiner Analyst II *

• A bachelor's degree from an accredited college or university with major course of study in accounting, finance, economics, insurance, or risk management and one year of professional experience in accounting, examining, analyzing or auditing financial data within a financial institution, insurance company or other regulated entity, or in the registration of securities or securities dealers; or
• A master's degree from an accredited college or university with major course of study in accounting or business administration, or possession of a Certified Public Accountant (C.P.A.) certificate; or
• One year of experience as a Financial Examiner/Analyst I with the State of Florida. Professional or nonprofessional experience as described above can substitute on a year-for-year basis for the required college education.

Financial Specialist *

• A bachelor's degree from an accredited college or university with major course of study in accounting, finance, economics, insurance, or risk management and two years of professional experience in accounting, examining, analyzing or auditing financial data within a financial institution, insurance company or other regulated entity, or in the registration of securities or securities dealers; or
• A master's degree from an accredited college or university with major course of study in accounting or business administration, or possession of a Certified Public Accountant (C.P.A.) certificate and one year of professional experience as described above; or
• Two years of experience as a Financial Examiner/Analyst with the State of Florida. Professional or nonprofessional experience as described above can substitute on a year-for-year basis for the required college education.

Financial Control Analyst *

• A bachelor's degree from an accredited college or university with major course of study in accounting, finance, economics, insurance or risk management and three years of professional experience in accounting, examining, analyzing, investigating or auditing financial data within a financial institution, insurance company or other regulated entity, or in the registration of securities or securities dealer; or
• A master's degree from an accredited college or university with major course of study in accounting or an area of business, or possession of a Certified Public Accountant (C.P.A.) certificate and two years of professional experience as described above; or
• Three years of experience as a Financial Examiner/Analyst or one year experience as a Financial Specialist with the State of Florida. Professional or nonprofessional experience as described above can substitute on a year-for-year basis for the required college education.

Financial Examiner/Analyst Supervisor-SES - (Appointed Position) *

Special Note: * The incumbent can expect to travel approximately 65% of the time.

Investigator

Includes the following positions (Financial Investigator, Senior Financial Investigator, Financial Investigator - Criminal Enforcement)

Examples of work preformed are listed below:

• Performing financial investigations involving fraud or unlicensed activity financial institutions; securities firms and agents; investment advisers and representatives; mortgage brokers and lenders; consumer finance companies; motor vehicle finance companies or other industries regulated by the agency.
• Coordinating multi-agency law enforcement investigations and prepares prosecutive summaries of investigations.
• Conducting interviews with witnesses and possible criminal violators.
• Assisting in or providing testimony in court proceedings pertaining to investigations.

Management

Includes the following positions (Area Financial Manager, Financial Administrator, Bureau Chief, Division Director)

Examples of work preformed are listed below:

• Serves as a spokesperson and liaison for the agency by communicating effectively with the industries regulated by the agency.
• Directing the activities regarding (a) the examination, audit and/or investigation of credit unions, savings and loan associations, banks and trust companies, or securities and finance companies; (b) examining and/or investigating applications for new financial organizations; (c) developing, evaluating, documenting and/or implementing accounting and/or auditing methods, procedures and techniques in manual and/or automated accounting systems; or (d) preparing the State of Florida's financial statements.
• Coordinating the completion of examinations and/or investigations to ensure reports are prepared according to quality control standards.
• Developing and implementing on-the-job training programs to support examination and/or investigation personnel at an area office, and coordinating the resolution of financial inquiries and resolving consumer-related complaints for an area office.
• Formulating or assisting in the formulation of policies and procedures, which have significant impact in personnel administration and/or preparation and administration of budgets.
• Supervising agency staff; providing consulting services to improve management capabilities and operational procedures.