Enforcement Counsel

3 weeks ago

Jefferson City, United States Missouri Secretary of State Full time

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.



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