The Office of Financial Regulation (OFR) is responsible for licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies, including state-chartered banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money transmitters throughout the state of Florida. BRIEF DESCRIPTION OF DUTIES: Duties include, but are not limited to: Performs preliminary inquiries and compliance examinations and investigations of securities broker/dealers, agents, issuers, issuer/dealers, investment advisers and unregistered entities to determine compliance with Chapter 517, Florida Statutes, the Florida Securities and Investor Protection Act, and the rules promulgated thereunder.