Legal Advisor I (Attorney) - Enforcement

Job Description

Job Description

Office of the Illinois Secretary of State

Alexi Giannoulias

Job Title :       Legal Advisor I – Securities Department

Division :      Enforcement

Union :           N / A

Location :     69 W Washington St, Chicago, IL – Cook County

Salary :         $4,656 to $10,513 monthly – commensurate with experience

Benefits :     https : / / cms.illinois.gov / benefits / stateemployee.html

Overview :

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.

Duties and 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.

Specific Skills :

Education and Work Experience :

Requires possession of a license to practice law in Illinois.

Application Process :

Equal Employment Opportunity Employer. Applicants must be lawfully authorized to work in the United States.

Applicants are considered for all positions without regard to race, color, religion, sex, national origin, sexual orientation, age, marital or veteran status, or the presence of a non-job-related medical condition or disability.

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