Enforcement Counsel

2 weeks ago

Jefferson City, United States Missouri Secretary of State Full time
Job DescriptionJob Description

Churning, Ponzi, Bait and Switch, Pump and Dump - all schemes commonly executed in the investment world against investors by bad actors and white-collar criminals. As enforcement counsel, you join a team of state regulators committed to protecting the investing public from these types of misconduct and fraud, and more.

Who are we? The Missouri Securities Division is part of the Office of the Secretary of State and the state regulatory agency for the securities industry. Through its three sections - Registration, Examinations, and Enforcement - the Division and its nearly twenty-person staff oversees and regulates securities-related activities occurring in, from, and into the state by both registered actors, such as broker-dealers and their agents and investment advisers and their representatives, as well as unregistered persons.

Experience something brilliantly different and get a leg up on building a career as a securities attorney. Whether you seek a career in state securities regulation or have an interest in ultimately working in the broker-dealer or financial services practice group of a law firm, as in-house counsel at a Wall Street firm, or as an enforcement attorney for the SEC, CFTC, or FINRA, the Missouri Securities Division offers the legal training and experience that can drive your career forward.

Job Description and General Responsibilities:

Reporting directly to the Director of Enforcement, you will be an essential member of the Enforcement Section's legal staff, advising and supporting the Division's team of investigators and pursuing cases against non-compliant and bad actors to hold them accountable. As enforcement counsel you will:

  • provide guidance and legal advice to investigators and collaborate with staff to develop investigations;
  • assess evidence and recommendations from investigators, research and identify the legal requirements for charges, and determine what action should be taken;
  • conduct litigation preparation, including drafting petitions, conducting depositions of respondents and witnesses and fulfilling discovery requirements;
  • present cases at administrative hearings or, as special assistant attorney general, in civil trial;
  • directly engage with respondents, or their counsel, to facilitate settlement discussions, and draft settlement documents;
  • coordinate effectively with other sections of the Division;
  • interact with registered broker-dealers and investment advisers, and members of the public;
  • cooperate and assist the Attorney General's Office, FBI, and local county prosecutors with criminal prosecutions stemming from securities violations; and
  • attend in-state and out-of-state conferences and training seminars, interacting with other state regulators, the SEC, CFTC, and FINRA.

Work Conditions:

  • Work location is in Jefferson City, Missouri, at the Office of the Secretary of State located at 600 W Main St.
  • Generally, work is conducted Monday through Friday, 8:00 AM - 5:00 PM.
  • Dress code is business casual, except during hearings/trial, depositions, or meetings with external parties.
  • Remote work not available.

Qualifications:

  • Ability to communicate clearly and concisely, verbally and in writing, with internal and external parties, including outside attorneys and financial institutions.
  • Excellent organizational and time-management skills, and ability to prioritize work effectively.
  • Attention for details.
  • Ability to think critically.
  • Interest in developing litigation skills.
  • Interest to strive for excellence.

Education/Experience:

  • JD from a US ABA-accredited law school and license to practice law in Missouri.
  • Coursework in securities regulation, corporate finance, or similar subject matters a plus.
  • Prior broker-dealer or investment adviser experience a plus.
  • MBA a plus.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not an exhaustive list of all duties, responsibilities and qualifications required.



Job Posted by ApplicantPro

  • Enforcement Counsel

    Found in: Lensa US P 2 C2 - 3 days ago

    Jefferson City, United States State of Missouri Full time

    The Missouri Ethics Commission (MEC) is seeking an attorney to serve as Enforcement Counsel in its Jefferson City office. The MEC is a state agency responsible for campaign finance reporting, as well as lobbyist registration and reporting as well as Missouris conflict of interest statutes that are applicable to elected and appointed officials. The Commission...

  • UC Sales Manager

    7 days ago

    Jefferson City, United States Sonic Automotive Full time

    Job Description Purpose: · Ensures customers retention and the profitability of this profit center by recruiting qualified sales personnel. Assumes responsibility for appraising, purchasing, reconditioning, displaying, and merchandising the used vehicle inventory Duties and Responsibilities: · Forecasts goals and objectives for sales, gross, and key...

  • UC Sales Manager

    4 days ago

    Jefferson City, United States Sonic Automotive Full time

    Company DescriptionAt Nissan of Jefferson City, a Sonic Automotive family dealership, you'll find the opportunities, resources, and support you need to grow and develop professionally. Our 100+ dealerships are concerned with more than moving inventory; they're committed to your success and invested in your future. So read on, and consider a rewarding career...

  • Sales Manager

    Found in: Talent US C2 - 7 days ago

    Jefferson City, United States Jefferson City Nissan Full time

    Job Description Purpose: · Ensures customers retention and the profitability of this profit center by recruiting qualified sales personnel. Assumes responsibility for appraising, purchasing, reconditioning, displaying, and merchandising the used vehicle inventory Duties and Responsibilities: · Forecasts goals and objectives for sales, gross,...

  • UC Sales Manager

    Found in: Resume Library US A2 - 2 weeks ago

    Jefferson City, Missouri, United States Sonic Automotive Full time

    Job Description Purpose: ·       Ensures customers retention and the profitability of this profit center by recruiting qualified sales personnel. Assumes responsibility for appraising, purchasing, reconditioning, displaying, and merchandising the used vehicle inventory Duties and Responsibilities: ·       Forecasts goals and objectives...

  • Bilingual Human Resources Manager

    18 hours ago

    West Jefferson, United States KANE Logistics LLC Full time

    Partners with operations to advise appropriate resolution for associate relations issues. • Effectively coach leadership in matters relating to people, HR processes, programs and corresponding impact to the business. • Ability to recommend and create effective counseling or coaching documentation. • Manages resolution of associate relations...

  • Bilingual Human Resources Manager

    1 week ago

    West Jefferson, United States Kane Logistics Full time

    Partners with operations to advise appropriate resolution for associate relations issues.• Effectively coach leadership in matters relating to people, HR processes, programs and corresponding impact to the business.• Ability to recommend and create effective counseling or coaching documentation.• Manages resolution of associate relations investigations...

  • Investigation Specialist

    Found in: beBee S US - 2 days ago

    Oklahoma City, United States Department Of Transportation Full time

    Summary This position is located within the FAA, Security and Hazardous Material Safety, Office of National Security Programs and Incident Response, Regulatory Investigations Division, AXE-700, DUI/DWI Investigations Branch, AXE-710. ...

  • Mobile Crisis Clinician

    2 weeks ago

    Redwood City, United States Social Service Staffing & Recruiting, Inc. Full time

    Job DescriptionJob DescriptionAre you interested in being a part of a social movement gaining traction nationwide, in partnering with law enforcement to provide mental health support on calls for individuals exhibiting behaviors of mental illness or substance abuse? Be on the front line of this cultural shift and join our agency and local law enforcement on...

  • Investigation Specialist

    Found in: beBee jobs US - 4 days ago

    Oklahoma City, Oklahoma, United States Department Of Transportation Full time

    Summary This position is located within the FAA, Security and Hazardous Material Safety, Office of National Security Programs and Incident Response, Regulatory Investigations Division, AXE-700, DUI/DWI Investigations Branch, AXE-710. Duties Performs a mixture of basic and routine investigative assignments under the direction of the supervisor or senior...

  • Paralegal, Employment Law

    Found in: beBee S US - 2 weeks ago

    New York City, United States Tiffany & Co. Full time

    The Employment Law Paralegal will assist attorneys on a broad range of legal issues pertaining to employment law. It is expected that the paralegal's focus will be employment law, but will assist with other areas including intellectual property, litigation, day to day record-keeping, compliance, commercial and other contracts. The position will handle both...

  • Paralegal, Employment Law

    Found in: beBee S US - 1 week ago

    New York City, United States Tiffany & Co. Full time

    The Employment Law Paralegal will assist attorneys on a broad range of legal issues pertaining to employment law. It is expected that the paralegal's focus will be employment law, but will assist with other areas including intellectual property, litigation, day-to-day record-keeping, compliance, commercial and other contracts. The position will handle both...

  • Human Resources Manager

    2 weeks ago

    Salt Lake City, United States Kane Logistics Full time

    Partners with operations to advise appropriate resolution for associate relations issues.• Effectively coach leadership in matters relating to people, HR processes, programs and corresponding impact to the business.• Ability to recommend and create effective counseling or coaching documentation.• Manages resolution of associate relations investigations...

  • Legal Secretary

    Found in: Resume Library US A2 - 7 days ago

    Salt Lake City, Utah, United States Salt Lake County Full time

    Job Description: JOB SUMMARY Provides legal secretarial support to Division staff. Performs highly responsible and confidential secretarial duties and administrative functions. MINIMUM QUALIFICATIONS Two (2) years of professional office clerical experience. All Grades Due to the nature of this position, the successful applicant must successfully pass an...

  • Child Protection Specialist

    1 week ago

    Illinois City, United States Illinois Department of Children and Family Services Full time

    Job DescriptionJob DescriptionJob ResponsibilitiesUnder direction of the team supervisor, receives and investigates reports of child abuse and neglect within mandated time limits; assesses immediate safety of children and initiates appropriate levels of protection needed; conducts home evaluations, observing family situations relating to allegations of abuse...

  • Probation / Electronic Monitoring Case Manager

    7 days ago

    Cedar City, United States AMP Probation Full time

    Job DescriptionJob DescriptionSalary: $16 to $18 DOEAMP is committed to promoting the safety and well-being of the citizens of the State of Utah through effective community-based supervision of offenders by professional individuals who strive to make a positive impact upon their community. Our mission is accomplished by: Enforcing Court Orders; Advocating...

  • Probation / Electronic Monitoring Case Manager

    7 days ago

    Brigham City, United States AMP Probation Full time

    Job DescriptionJob DescriptionSalary: AMP is committed to promoting the safety and well-being of the citizens of the State of Utah through effective community-based supervision of offenders by professional individuals who strive to make a positive impact upon their community. Our mission is accomplished by: Enforcing Court Orders; Advocating for victim’s...

  • Probation / Electronic Monitoring Case Manager

    2 weeks ago

    Brigham City, United States AMP Probation Full time

    Job DescriptionJob DescriptionSalary: AMP is committed to promoting the safety and well-being of the citizens of the State of Utah through effective community-based supervision of offenders by professional individuals who strive to make a positive impact upon their community. Our mission is accomplished by: Enforcing Court Orders; Advocating for victim’s...

  • CAMP Head Counselor

    Found in: Careerbuilder One Red US C2 - 1 week ago

    South Sioux City, NE, United States The Salvation Army USA Central Territory Full time

    This is a Temporary Position that will run from May 29, 2024 to July 26, 2024. The working days for this position will be Monday-Friday and some weekends. Pay is $90-$100 per day. MISSION STATEMENT: The Salvation Army, an international movement, is an evangelical part of the universal Christian church. Its message is based on the Bible. Its ministry is...

  • Driver Manager

    1 week ago

    Kansas City, United States Venture Full time

    Job DescriptionJob DescriptionDescription:LOGISTICS FOR THE INDUSTRIOUS.At Venture, we help our clients deliver their products, their promises, and their potential every day. If you believe in delivering great customer service, value partnership, and are always looking for a challenge, we’d like to meet you.Monday through Friday 2:00PM to 10:00PMPOSITION...