Audit Director

Website FlFinancialReg The Florida Office of Financial Regulation


Date: May 15, 2020

Location: (See below)

Requisition No.: N/A

Agency: Florida Office of Financial Regulation

Position Title: Audit Director – SES

Position Number: 43001827

Anticipated Salary Range: $65,000 – $90,000

Posting Closing Date Extended: Tuesday, June 4, 2020

The Florida Office of Financial Regulation (OFR) seeks a highly responsible individual to manage and conduct the Internal Audit activities of its Office of Inspector General. The OFR provides regulatory oversight for Florida’s financial services providers. Its programs oversee and regulate a wide range of financial enterprises and individuals, such as state-chartered banks, credit unions, mortgage loan originators, securities industry participants, consumer finance companies, money transmitters, foreign currency exchangers and payday lenders. The OFR’s Office of Inspector General has a responsibility to inform and advise management of process improvement opportunities, significant deficiencies or other substantive issues noted in the course of its internal audit activities, and to carry out responsibilities as provided in Section 20.055, Florida Statutes (F.S.).

Candidates should expect a professional office environment with a public service-driven mission. Benefits include competitive health insurance, State of Florida retirement options, teleworking opportunities, and a flexible work/life balance.

The Florida Office of Financial Regulation operates from five different office facilities throughout the state of Florida, including Tallahassee (Headquarters), Miami, Orlando, Tampa and West Palm Beach. The Office of Financial Regulation may consider any of these office locations as the primary reporting office location; however, any primary office location assigned outside of Tallahassee, will require the candidate to physically report to the Tallahassee office as needed by the agency.

Position Responsibilities:

The Audit Director represents the Inspector General in their absence on all matters pertaining to the Internal Audit Section of the Office of Inspector General. The Audit Director is responsible for conducting, supervising, and coordinating assurance services and consulting service engagements relating to agency programs and operations. This position reports to and is appointed by the Inspector General.

The Audit Director:

Plans and performs internal audit activities which promote integrity, accountability and process improvement within the Office of Financial Regulation.

Implements Chapter 20.055, F.S., regarding the audit duties of the Office of Inspector General.

Develops the annual audit plan of the Audit Section for inclusion in the annual plan of the Office of Inspector General and monitors its progress throughout the fiscal year.

Performs the function of Chief Audit Executive as referenced in the International Professional Practice Framework, published by the Institute of Internal Auditors.

Is responsible for the technical, analytical and final review of working papers and reports to ensure adherence to office and professional standards, as well as accomplishment of the Office of Inspector

General mission and audit objectives.

Ensures compliance with the Association of Inspectors General’s Principles and Standards for Offices of Inspector General.

Develops and maintains internal audit policies and procedures, including the Office of Inspector General Internal Audit Activity Manual and Internal Audit Charter.

Ensures that confidential information that is created, obtained, or used by the Office of Inspector General is accorded strict accountability and physical protection.

Ensures that records are retained and disposed of in accordance with records management and retention requirements.

Establishes and maintains professional relationships with Office of Financial Regulation leaders and managers, counterparts in other Offices of Inspector General, the Office of Program Policy Analysis and Government Accountability, and the Auditor General’s office to effectively coordinate the assignments and responsibilities of the Internal Audit Section.

Performs other related duties as required, including but not limited to assisting the Inspector General with Inspector General investigations as needed.

Knowledge, Skills and Abilities:

Knowledge of the Institute of Internal Auditors’ Professional Practices Framework and the Association of Inspectors General’s Principles and Standards for Offices of Inspector General

Knowledge of and skill using information systems technology such as personal computer platforms, word processing, electronic spreadsheets, graphic presentation software

Knowledge of the methods of compiling, reviewing, and analyzing performance and operational data

Ability to understand, interpret and apply laws, rules, regulations, policies and procedures, including those regarding sensitive and confidential information

Ability to determine the extent of compliance with organizational controls

Ability to analyze problems using sound reasoning to identify alternative solutions and distinguishing between relevant and irrelevant information

Ability to plan, organize and coordinate work assignments based upon objectives, and identify problems and opportunities, monitor progress, and accomplish goals

Ability to communicate effectively verbally and in writing to express facts and ideas in a succinct and organized manner, and make clear and convincing oral presentations

Ability to establish and maintain effective working relationships with others by listening and facilitating an open exchange of ideas

Ability to learn and develop an understanding of complex organizational processes and systems

Ability to apply technology to improve efficiency and effectiveness of work assignments

Minimum Qualifications:

In order to qualify, applicants must meet one or more of the following requirements in accordance with Section 20.055, F.S.:

A bachelor’s degree from an accredited college or university with a major in accounting, or with a major in business which includes five courses in accounting, and 5 years of experience as an internal auditor or independent post-auditor, electronic data processing auditor, accountant, or any combination thereof. The experience shall at a minimum consist of audits of units of government or private business enterprises, operating for profit or not for profit; or

A master’s degree in accounting, business administration, or public administration from an accredited college or university and 4 years of experience as required above; or

A certified public accountant license issued pursuant to Chapter 473 or a certified internal audit certificate issued by the Institute of Internal Auditors or earned by examination, and 4 years of experience as described above.

A valid driver’s license is required. This position may require 1 – 25% travel, and more depending on the selected candidate’s primary office location.

Preferred Qualifications:

Preference will be given to applicants who can show or demonstrate:

A professional certification relevant to the position (example: CIA, CPA, CIGA, CISA, CPM)

Experience conducting or managing audits in an Office of Inspector General environment

Completed or supervised audit engagements that comply with an established set of professional standards

A proficiency in the application of the International Standards for the Professional Practice of Internal Auditing

An ability to act as a trusted advisor capable of evaluating and making recommendations for improvement to the agency

Note: Any documentation provided to the agency during an interview will not be returned.

This advertisement is for a Selected Exempt Service (SES) position for the Office of Financial Regulation. The annual salary will be determined in accordance with current pay policy, and commensurate with the selected candidate’s competencies and qualifications.

The Florida Office of Financial Regulation (OFR) is administratively housed within the Florida Department of Financial Services (DFS). All applicants seeking employment with the OFR are subject to mandatory background checks conducted through the 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.

If the OFR requests applicants to answer qualifying questions, responses must be clearly supported by the information submitted by an applicant and any omission, falsification or misrepresentation in the answering of the qualifying questions will be cause for immediate elimination from the selection process.

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.

The starting salary will be determined in accordance with current pay policy, and commensurate with the selected candidate’s competencies and qualifications. The anticipated annual salary range is: $65,000 to $90,000.00.

This advertisement will close Tuesday, May 26, 2020 at 5:00 p.m. Eastern Standard Time (EST).

Interested applicants should submit a resume and any information to support an applicant’s skillset and/or qualifications to the Florida Office of Financial Regulation, Attention: Mrs. Kim Faris, Resource Management Administrator at

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