Missouri Secretary of State
  • 05-Jul-2018 to 27-Jul-2018 (CST)
  • Jefferson City, MO, USA
  • $2,668.00-$3,310.00 monthly
  • Salary
  • Full Time

Definition: The  Securities Registration  Specialist in the Securities Division performs paralegal services under the direction of the Commissioner of Securities, Chief Counsel,  and other Directors and attorneys working in the Securities Division, and particularly focuses on the registration (and exemption) of securities products proposed to be offered for sale in Missouri; assists in the review of firms and individuals seeking registration, exemption and waivers; and provides guidance regarding their registration status in Missouri. 

Job Functions and General Responsibilities: The Securities Registration Specialist performs various securities registration support and document review responsibilities. These duties include, without limitation: 1) preparing and managing securities registration forms/templates; 2) reviewing securities registrations and claims for exemptions, including registration statements, offering documents, exhibits, attachments, appendices, memoranda, and correspondence; 3) performing due diligence on the issuer, its affiliates, its officers and directors, and the underwriters; 4) conducting legal research and analysis regarding the registration (or exemption) of securities; 5) preparing comment letters and correspondence with concerns and reviewing and analyzing the responses thereto; 6) preparing memoranda based upon the review of securities registration (or exemption); 7) maintaining appropriate documentation of securities registration actions; 8) tracking the status of securities registration (or exemption); 9) reviewing firms and individuals seeking registration, exemption and waivers; 10) managing and organizing registration records; and 11) performing other responsibilities as directed by the Commissioner of Securities, the Chief Counsel and other Directors and attorneys working in the Securities Division. The Securities Registration Specialist may also be asked to fulfill other support tasks, including periodic front desk coverage, answering phones, opening mail, registration payment processing and archiving as needed.

Knowledge, Skills, and Abilities: The Securities Registration Specialist must be a thorough, detail-oriented professional with strong organizational and time-management skills, and have the ability to prioritize work effectively. The Securities Registration Specialist must be able to multi-task, and work under strict time constraints, and the ability to work independently with limited direction. Strong writing and research skills, and the ability to summarize complex legal matters are required. The  Securities Registration  must understand the statutes, regulations, and statements of policy the Division applies and enforces, and have a working knowledge of legal processes, registrations (and exemptions) and administrative law. The Securities Registration Specialist should have a basic understanding of the financial services industry and investment products, and a general comfort with corporate finance instruments. Be adept at reviewing and commenting upon complex corporate finance documents, and discussing the required or requested changes to offering documents with outside attorneys, paralegals and businesses. The Securities Registration Specialist 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 attorneys, peers, state and federal agencies, and the public. The Securities Registration Specialist must have word processing skills and be able to use Microsoft Outlook, Word and Excel, and become proficient in the use of the Securities Division's computer systems, securities registration databases and SAM II. 

Qualifications: The Securities Registration Specialist should have at least five years' experience performing registration or licensing functions, or transferable support experience at a high level. An associate's degree or higher degree is desirable. A paralegal certificate is preferred but not required.  Experience in corporate finance, insurance or securities is preferred; experience in complex commercial, real estate or business transactions is desired.


Missouri Secretary of State
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