Missouri Secretary of State
  • 08-Jun-2018 to 17-Sep-2018 (CST)
  • Jefferson City, MO, USA
  • $5,200-$5,910 monthly
  • Salary
  • Full Time


The Director of Enforcement leads the Enforcement Section of the Securities Division. 

Job Functions and General Responsibilities:

The Director of Enforcement leads the Enforcement Section in all phases of its work, including complaint intake, investigation, and litigation.  The Director of Enforcement supervises investigators, paralegals and legal assistants; reviews complaints, referrals and tips; and assigns matters to investigators and Securities Enforcement Counsel.  The Director of Enforcement carries a large caseload of enforcement matters while also providing direction on other cases for investigators and other Securities Enforcement Counsel.  The Director of Enforcement reviews investigative summaries, case reports, and recommendations from investigators to determine what action should be taken.  The Director of Enforcement prepares petitions, motions, and discovery requests; drafts proposed orders; conducts depositions; and negotiates consent orders.  The Director of Enforcement also prepares for and presents cases at administrative hearings and civil trials.  The Director of Enforcement makes recommendations concerning criminal referrals, and at times serves as a specially appointed assistant prosecutor or assistant attorney general.  The Director of Enforcement is a key liaison with outside law enforcement agencies and government regulators.  The Director of Enforcement must be comfortable interacting with registered broker-dealers and investment advisers, opposing counsel, and the public, especially vulnerable citizens.  The Director of Enforcement plans and presents continuing education and training for investigators, and as directed by the Commissioner of Securities, guides in-house training of Securities Division staff.  The Director of Enforcement will also perform all other duties as assigned by the Commissioner of Securities.

Knowledge, Skills, and Abilities:

The Director of Enforcement is an attorney with a background in or knowledge of securities law, securities enforcement and regulation, administrative and civil litigation and/or criminal prosecution.  An understanding of the financial services industry, capital markets, investment and retirement issues, finance, and the federal and state laws pertaining to the securities industry is preferred.  The Director of Enforcement must be able to manage and lead a large number of open cases and investigations toward prompt resolution.  The ability to exercise sound, objective judgment on the merits of potential cases, and determine what enforcement action is warranted, is also needed.  The Director of Enforcement must be an effective communicator, able to work with legal assistants, paralegals, and investigators with backgrounds in law enforcement and/or financial services, and provide specific guidance and direction to those staff members.  The Director of Enforcement should possess excellent organizational and time-management skills, and have the ability to prioritize work effectively. The Director of Enforcement should possess strong written and oral advocacy skills, including the ability to manage discovery and conduct and defend depositions, and have the ability to work under deadline pressure.  The Director of Enforcement should possess strong interpersonal skills and the ability to work on a team as well as have the ability to establish and maintain effective working relationships with peers, state and federal agencies, and the public.  The Director of Enforcement must be proficient in various office related software including, but not limited to Microsoft Word, Microsoft Excel, and Microsoft Outlook, and must be proficient in legal research, including the use of Westlaw.


The Director of Enforcement must have a law degree from an ABA-accredited law school and an active Missouri law license.  The Director of Enforcement should have management experience and experience in the areas of securities law, business litigation, administrative law, civil litigation and/or criminal prosecution, or experience with a securities regulator.

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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