DEPARTMENT OF MANAGEMENT SERVICES
For Reference Only
CLASS CODE: 1564
PAY GRADE: 023
CLASS TITLE: FINANCIAL EXAMINER/ANALYST II
ALLOCATION FACTOR(S)
This is work in one of the following areas: (1) performing audits and examinations of sales documents
and related accounting records for the purpose of determining compliance with three or more
regulatory acts of the state laws regulated by the Department of Banking and Finance; (2) performing
advanced examination of records and accounts of state-chartered depository institutions which include
companies, credit unions, savings and loan associations, mortgage brokers, cemeteries, and securities
dealers, agents, brokers, or of securities deposited with the State Treasurer by financial institutions
and insurance companies; or (3) performing financial examinations and compliance, operational, and
solvency audits of insurance companies, real estate development companies, escrow agents, mobile
home parks, condominium associations, cooperative developers, and timeshare projects to determine
compliance with the Florida Statutes and related rules and regulations.
EXAMPLES OF WORK PERFORMED:
(Note: The examples of work as listed in this class specification are not necessarily descriptive of any
one position in the class. The omission of specific statements does not preclude management from
assigning specific duties not listed herein if such duties are a logical assignment to the position.
Examples of work performed are not to be used for allocation purposes.)
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Examines sales contracts, purchase orders, and installment contracts involving retail, motor
vehicle, home improvement sellers, and the related finance companies, banks, and savings and
loan associations purchasing these types of contracts.
Performs financial, performance, compliance, or solvency audits of insurance companies in
accordance with approved audit/examination program and recognized professional standards.
Examines records of consumer finance companies to determine that excessive finance charges
have not been made and that the finance company is in compliance with other regulatory rules
and statutes.
Evaluates general operations, including internal control of entity being examined and
determines adequacy or material weakness.
Examines the books, records, and brokerage contracts of mortgage brokers as well as the
records of privately owned cemeteries, trading stamp companies, and other licensees to
determine compliance with the statutes.
1564-FINANCIAL EXAMINER_ANALYST II-CS
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Makes investigations of consumer complaints against the regulated financial institutions by
examining evidence, reviewing records, and interviewing witnesses.
Defines scope and develops initial audit plans of assignments.
Examines the books and records of financial institutions, insurance companies, and
corporations for compliance with the reporting and remitting of abandoned/unclaimed
property which consists of cash, stocks, and bonds.
Trains new personnel in the same or lower class.
Participates in the review and analysis of detailed portions of examinations by subordinate
examiners.
Writes detailed portions of examinations, loan portions of examinations, and examination
reports as examiner-in-charge in small and medium size and relatively clean financial
institutions or insurance companies.
Examines bank notes, securities, and collateral, and evaluates the collectability of items in
accordance with the state law.
Prepares the more difficult schedules and reconciliations as required by supervisors in
examination reports.
Prepares statistical tabulations.
Reviews, analyzes and evaluates reports, records and other financial data to determine
compliance with the "Florida Security for Public Deposits Act."
Examines the deposits of securities by insurance companies and other regulated entities to
determine that all deposit requirements are met.
Compiles evidence to be used in legislative or administrative proceedings and testifies when
required.
Develops, implements and monitors new and/or improved accounting programs, systems,
procedures and guidelines dealing with the deposit or the pledging of securities or examination
of insurance companies.
Analyzes accounts or groups of accounts for irregularities.
Performs related work as required.
KNOWLEDGE, SKILLS AND ABILITIES:
(Note: The knowledge, skills and abilities (KSA's) identified in this class specification represent those
needed to perform the duties of this class. Additional knowledge, skills and abilities may be applicable
for individual positions in the employing agency.)
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Knowledge of the techniques utilized in conducting examinations of financial institutions or
insurance companies.
Knowledge of the methods of compiling and analyzing data.
Knowledge of accounting or auditing principles and procedures.
Ability to recognize validity, authenticity and propriety of accounting and operating records.
Ability to review, analyze and evaluate data.
Ability to prepare reports.
Ability to conduct audits of financial records.
Ability to understand, interpret and apply laws, rules, regulations, policies and procedures.
Ability to plan, organize and coordinate work assignments.
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Ability to communicate effectively.
Ability to establish and maintain effective working relationships with others.
Ability to conduct investigations or financial examinations.
MINIMUM QUALIFICATIONS
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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-foryear basis for the required college education.
EFFECTIVE:
6/24/1994
HISTORY:
06/30/1989
11/28/1988