Definition:

The Enforcement Counsel works at the direction of the Director of Enforcement in the prosecution of securities enforcement cases before the Commissioner of Securities.

Job Functions and General Responsibilities:

• Collaborate with investigative staff, providing guidance and legal advice.
• Assess evidence and recommendations from investigators, research and identify the legal requirements for charges and determine what action should be taken.
• Directly engage with respondents, or their counsel, to advance settlement discussions, and draft settlement documents.
• Conduct litigation preparation, including drafting petitions, conducting depositions and fulfilling discovery requirements.
• Present cases at administrative hearing or civil trial.
• Collaborate effectively with other sections of the Division.
• Interact with registered broker-dealers and investment advisers, opposing counsel, and members of the public.
• Cooperate and assist with criminal prosecutions stemming from securities violations.

Knowledge, Skills and Abilities:

• Excellent oral and written communication and litigation skills.
• Ability to communicate clearly and concisely, verbally and in writing, with internal and external parties, including outside attorneys and financial institutions.
• 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.
• 3-5+ years relevant experience in a regulatory, prosecution, or legal environment preferred.

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.