Missouri Secretary of State
  • 30-Aug-2022 to Until Filled (CST)
  • Jefferson City, MO, USA
  • 75000-85000 per year
  • Salary
  • Full Time

Definition:

The Chief Counsel provides legal advice and other support to the Commissioner of Securities and the Securities Division.

Job Functions and General Responsibilities:

  • Provide direct legal support to the Commissioner in the form of research, writing and legal counsel.
  • Provide various support and legal advice to the Division's Enforcement and Registrations sections, including managerial oversight of Examinations Section.
  • Keep current with legal, regulatory and industry developments and changes in securities laws affecting broker-dealers and investment advisers and their registered representatives and advise on impacts to the Securities Division.
  • Conduct disclosure review of broker-dealer agent and investment adviser representative applications and make formal recommendation to the Commissioner to deny, revoke or suspend applications of registrants.
  • Assist with drafting of legislation relevant to the regulatory mandate and operation of the Securities Division.
  • Perform other duties as assigned by the Commissioner.

Knowledge, Skills, and Abilities:

  • Solid understanding of Missouri civil and administrative procedure.
  • Experience with drafting, editing and proofing pleading and other court documents.
  • Strong legal research skills.
  • Ability to communicate clearly and concisely, verbally and in writing, with internal and external parties, including outside attorneys and financial institutions.
  • Ability to exercise good judgment and make independent decisions in accordance with general policy and objectives of the Division.
  • Possess excellent organizational and time-management skills, and have the ability to prioritize work effectively.

Qualifications:

  • JD from a US ABA-accredited law school and license to practice law in Missouri.
  • 5+ years relevant experience, either at a law firm, or combined at a law firm and in-house at a financial services firm.

The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.

Missouri Secretary of State
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