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Position Responsibilities
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Click on the above links for
position responsibilities
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The
Division of Financial Institutions
processes applications for new banks,
savings associations, foreign banks,
credit unions and trust companies, as
well as applications for acquisitions,
mergers, cross-industry conversions,
changes of control, requests for trust
powers and branches. The Division licenses,
examines and regulates state-chartered
financial institutions to ensure the
institutions operate in a safe, sound
and legal manner. |
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The
Division of Securities protects
the investing public from investment
and securities fraud while facilitating
capital formation in the State of Florida.
The office examines securities dealers,
investment advisers, their respective
offices, and associated persons who
conduct securities business in, to or
from Florida, to ensure their compliance
with the rules and regulations of the
Florida Securities and Investor Protection
Act. |
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The
Division of Finance
regulates the following companies
operating in the state of Florida:
mortgage brokers and mortgage
lenders; consumer finance companies;
retail installment sales finance
companies (motor vehicle, home
improvement and retail sellers);
consumer, commercial debt collection
agencies, and money transmitters.
The Bureau provides consumer
protection from illegal or improper
activities performed by the above
companies. |
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The
Bureau
of Financial Investigations is a criminal justice agency responsible for
conducting financial investigations of illegal activities within the Office
of Financial Regulation’s (OFR) jurisdiction. |
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The
Legal
Services Office provides legal advice and counsel to all officials and
employees of the OFR regarding issues within or related to its
jurisdiction. It also provides for legal representation of OFR in all
official matters. |
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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)
Note: The
examples of work performed are not necessarily descriptive
of any one position listed under ADMINISTRATIVE. The
omission of specific statements does not preclude management
from assigning specific duties not listed herein.
Examples of
work preformed are listed below:
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Accounting work involving the application of
professional accounting techniques to a variety of
fiscal transactions.
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Assisting
management with human resources, training, budget and
financial matters.
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Answering, screening and referring telephone calls.
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Greeting
visitors.
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Opening and distributing mail.
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Handling
basic maintenance of standard office equipment.
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Preparing and proofreading correspondence and legal
documents.
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Making
travel arrangement.
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Coordinating
and scheduling meetings.
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Typing
and formatting of basic documents.
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Use of
standard software (Word, Excel, PowerPoint) programs.
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Data
entry.
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Maintaining inventory and ordering office supplies.
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Record
management and maintaining record management
improvement/control programs.
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Assisting
with public records requests.
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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)
Note: The
examples of work performed are not necessarily descriptive
of any one position listed under ANALYST The omission of
specific statements does not preclude management from
assigning specific duties not listed herein.
Examples of
work preformed are listed below:
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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.
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Analyzing financial information for use in making
regulatory decisions.
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Professional and technical work involving highly
specialized knowledge of accounting and accounting
systems/computer and computer systems.
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Providing management consultant services and assistance
in order to improve operational procedures.
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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.
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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.
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Preparing reports of recommendations.
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Representing the organization to the public, state and
federal government.
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Interpreting regulations and polices of the agency;
including state and federal statutes and administrative
rules.
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Supervising agency staff; primarily communicating with,
motivating, training and evaluating employees, and
planning and directing their work.
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ATTORNEY
Includes the following positions
(Attorney, Senior Attorney, Attorney
Supervisor)
Note:
The examples of work performed are not necessarily
descriptive of any one position listed under ATTORNEY. The
omission of specific statements does not preclude management
from assigning specific duties not listed herein.
Examples
of work preformed are listed below:
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Renders legal advice and counsel to agency personnel on
agency policies and regulations.
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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.
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Provides interpretive opinions relating to statutory and
rule authority, including legal opinions and declaratory
statements.
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Drafts and promulgates administrative rules and
litigates rule challenges.
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Defends challenges to regulatory decisions.
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Supervises legal staff and attorneys; primarily
communicating with, motivating, training and evaluating
employees, and planning and directing their work.
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EXAMINER
Includes
the following positions
(Financial Examiner/Analyst I, Financial Examiner/Analyst
II, Financial Specialist and Financial Examiner/Analyst
Supervisor)
Note: The
examples of work performed are not necessarily descriptive
of any one position listed under EXAMINER. The omission of
specific statements does not preclude management from
assigning specific duties not listed herein.
Examples
of work preformed are listed below:
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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.
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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.
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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.
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Coordinating the completion of examinations to ensure
reports are prepared according to quality control
standards.
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Developing and implementing on-the-job training programs
to support examination or investigation personnel.
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Supervising examination staff; primarily communicating
with, motivating, training and evaluating employees, and
planning and directing their work.
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INVESTIGATOR
Includes
the following positions (Financial Investigator, Senior
Financial Investigator, Financial Investigator – Criminal
Enforcement)
Note: The examples of work performed are not necessarily
descriptive of any one position listed under INVESTIGATOR.
The omission of specific statements does not preclude
management from assigning specific duties not listed herein.
Examples of
work preformed are listed below:
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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.
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Coordinating multi-agency law enforcement investigations
and prepares prosecutive summaries of investigations
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Conducting interviews with witnesses and possible criminal
violators.
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Assisting
in or providing testimony in court proceedings pertaining
to investigations.
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MANAGEMENT
Includes
the following positions (Area Financial Manager, Financial Administrator,
Bureau Chief, Division Director)
Note: The examples of work
performed are not necessarily
descriptive of any one position
listed under MANAGEMENT. The
omission of specific statements does
not preclude management from
assigning specific duties not listed
herein.
Examples of
work preformed are listed below:
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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.
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Coordinating the completion of examinations and/or
investigations to ensure reports are prepared according
to quality control standards.
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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.
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Formulating or assisting in the formulation of policies
and procedures, which have significant impact in
personnel administration and/or preparation and
administration of budgets.
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Supervising agency staff; providing consulting services
to improve management capabilities and operational
procedures.
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Return to:
Career Opportunities
Revised:
May-07
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