Missouri Secretary of State
  • 16-Sep-2019 to 15-Nov-2019 (CST)
  • Jefferson City, MO, USA
  • $3,750-$5,417 per Month
  • Salary
  • Full Time

Definition: The Enforcement Counsel works at the direction of the Director of Enforcement in the preparation and litigation of securities enforcement cases. 

 

Job Functions and General Responsibilities:

The Enforcement Counsel manages a caseload of securities investigations and enforcement actions and works closely with, and at times directs, the efforts of, enforcement investigators.  The Enforcement Counsel reviews case reports and recommendations from investigators and determines what action should be taken.  The Enforcement Counsel prepares petitions, motions and discovery, drafts proposed orders, conducts depositions and negotiates consent orders.  The Enforcement Counsel also prepares and presents cases for and at administrative hearing or civil trial.  The Enforcement Counsel also makes recommendations concerning criminal referrals, and, at times, serves as a specially appointed assistant prosecutor or assistant attorney general.  The Enforcement Counsel must be comfortable interacting with registered broker-dealers and investment advisers, opposing counsel, and with the public, especially senior victims.

 

Knowledge, Skills, and Abilities:

The Enforcement Counsel is an attorney with a background or interest in securities law, securities enforcement, administrative law and/or criminal prosecution.  An understanding of the capital markets, investment and retirement issues, and finance is preferred.  The Enforcement Counsel must be able to handle a large caseload and manage and move dozens of open cases and investigations at a time.  The ability to exercise sound, objective judgment on the merits of potential cases, and what enforcement action is warranted, is also needed.  The Enforcement Counsel must be an effective communicator able to work with investigators with backgrounds in law enforcement and/or financial services, and provide specific guidance and direction to those staff members.  The Enforcement Counsel should have strong writing skills, the ability manage discovery and conduct and defend depositions, and strong advocacy skills.

 

Qualifications:

The Enforcement Counsel must have a law degree from an ABA-accredited law school and an active Missouri law license.  A background or experience in securities law, business litigation, financial planning, administrative law, civil litigation and/or criminal prosecution is preferred.

Missouri Secretary of State
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