Legal Advisor I (Attorney) - Enforcement

Illinois Secretary of State • Chicago, IL

10d • Onsite

About The Position

Acts as representative of the Secretary of State by participating in the enforcement actions involving violations of the Illinois Securities Law; handles and provides legal advice and assistance on regulatory issues involving the registration of securities, small company offerings, private placements, and other filings made with the Department; reviews inter-state securities filings; assists in issuing interpretive and no-action letters on matters involving securities registration and exemptions; participates in drafting modifications to laws administrative rules and regulations deemed necessary to implement statutory provisions; assists other sections within the Department on issues involving registered entities, issuers and exempted entities .

Requirements

• Requires extensive knowledge of the common law and of the State and Federal laws relating to administrative and regulatory functions.
• Requires extensive knowledge of judicial and quasi-judicial procedure and of the rules of evidence, hearings, and trial procedures.
• Requires working knowledge of management practices and procedures.
• Requires ability to maintain satisfactory working relationships with superiors, other attorneys, employees and the public.
• Requires ability to present material in clear and logical form for oral or written presentation, as briefs, orders, reports or decisions.
• Requires ability to exercise sound judgement in appraising and evaluating problems of a procedural nature.
• Requires willingness to travel and possession of a valid Illinois driver’s license .
• Requires possession of a license to practice law in Illinois.

Responsibilities

• Handles regulatory issues involving the registration of securities, small company offerings, private placements, and other filings made with the Department.
• Participates in enforcement actions involving violations of the Illinois Securities Law.
• Provides legal advice and assistance on regulatory issues involving Investment Advisers and representatives, Broker Dealers and salespersons, Issuers, Business Brokers, Loan Brokers, and Business Opportunities entities.
• Works with other states in review of inter-state securities filings.
• Responds to questions and inquiries from the public, attorneys and other regulators concerning statutory interpretations and compliance.
• Participates in the drafting of modifications to laws, administrative rules and regulations deemed necessary to implement statutory provisions; researches, drafts and writes routine memoranda of law and legal issues related to the laws administered by the Department.
• Assists in issuing interpretive and no-action letters on issues involving securities registration and exemptions.
• Assists the Enforcement and Audit and Compliance sections on issues involving registered entities, issuers and exempted entities.
• Performs other duties as required or assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed