Legal Advisor II (Attorney) - Registration & Licensing

Chicago, IL
Full Time
Securities
Mid Level

Office of the Illinois Secretary of State

Alexi Giannoulias


Job Title:     Legal Advisor II – Securities Department
Division:     Registration & Licensing
Union:         N/A
Location:    69 W Washington Ave, Chicago, IL – Cook County

Salary:        Starting at $5,586.00 - commensurate with experience           

Overview: 

Analyzes and resolves legal issues that arise with registration of entities as broker-dealers or investment advisers, and with registration of individuals as salespersons or investment adviser representatives; provides legal advice and assistance on regulatory issues involving the registration of securities and exemptions from registration; participates in drafting modifications to laws, administrative rules, and regulations deemed necessary to implement the Illinois Securities Law; assists other sections within the Department on issues involving registered entities, issuers, offerings, and exemptions.

Duties and Responsibilities:

  • Provides legal advice and assistance on regulatory issues involving the registration of Investment Advisers, Investment Adviser Representatives, Securities Broker-Dealers, and Salespersons.
  • Handles regulatory issues involving the registration of securities, mutual funds, small company offerings, crowdfunding, private placements, exemptions from registration, and other filings made with the Department related to securities offerings. Works with other states in review of interstate securities filings. Responds to questions and inquiries from the public, attorneys, and other regulators concerning statutory interpretations and compliance.
  • Participates in the drafting of modifications to laws, administrative rules, and regulations deemed necessary to implement statutory provisions; researches and drafts routine memoranda of law and legal issues related to the laws administered by the Department.
  • Assists in issuing interpretive and no-action letters on issues involving securities registration and exemptions.  Assists other sections in the Department on issues involving registered entities, issuers, offerings, and exemptions.
  • Advises the Department on legal issues involving Business Brokers, Loan Brokers, and Business Opportunities.
  • Performs other duties as required or assigned.
Specific Skills:
  • Requires extensive knowledge of the common law and of the State and Federal laws relating to administrative and regulatory functions.
  • Requires extensive knowledge of judicial and quasi-judicial procedure and of the rules of evidence, hearings, and trial procedures.
  • Requires working knowledge of management practices and procedures.
  • Requires ability to maintain satisfactory working relationships with superiors, other attorneys, employees and the public.
  • Requires ability to present material in clear and logical form for oral or written presentation, as briefs, orders, reports or decisions.
  • Requires ability to exercise sound judgement in appraising and evaluating problems of a procedural nature.
  • Requires willingness to travel and possession of a valid Illinois driver’s license.
Education and Work Experience:

Requires possession of a license to practice law in Illinois AND one (1) year of professional experience in the practice of law.

Application Process: 
  • Please visit https://ilsos.applytojob.gov/apply to apply by completing the online application; you may also upload a resume or other attachments as needed.
  • Preference will be given to Illinois residents in the hiring and selection process, in accordance with the Illinois Secretary of State Merit Employment Code.
  • Questions regarding this posting or Illinois Secretary of State employment practices may be directed to Job Counselors at our Personnel offices in Chicago (312-793-5515) or Springfield (217-782-4783).  

 
Equal Employment Opportunity Employer. Applicants must be lawfully authorized to work in the United States.
Applicants are considered for all positions without regard to race, color, religion, sex, national origin, sexual orientation, age, marital or veteran status, or the presence of a non-job-related medical condition or disability.

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