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Legal Advisor I (Attorney) - Enforcement

Legal Advisor I (Attorney) - Enforcement

Illinois Secretary of StateChicago, IL, US
30+ days ago
Job type
  • Full-time
  • Quick Apply
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 :

  • 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 .

    • Education and Work Experience :

  • Requires possession of a license to practice law in Illinois.

    • Application Process :

  • Please visit  https : / / ilsos.applytojob.gov / apply  to apply by completing the online application; you may also upload a resume, or other attachments as needed .
  • Preference will be given to Illinois residents in the hiring and selection process, in accordance with the Illinois Secretary of State Merit Employment Code.
  • Questions regarding this posting or Illinois Secretary of State employment practices may be directed to Job Counselors at our Personnel offices in Chicago (312-793-5515) or Springfield (217-782-4783).     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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