Chief of Enforcement

Chicago, IL
Full Time
Securities
Senior Executive
Office of the Illinois Secretary of State
Alexi Giannoulias

Job Title:    Chief of Enforcement
Division:      Securities Department
Union:         N/A
Location:    69 W. Washington Street, Chicago, IL - Cook County
Salary:        Minimum salary $125,000, commensurate with experience, plus benefits        
         
Overview: 
Performs highly responsible administrative work in planning, organizing, directing, and evaluating the statewide operations of the Enforcement Division; formulates and implements major policy decisions for the enforcement program; provides advice and consultation on technical questions and problems as they affect the overall operation of the Securities Department; coordinates with other Divisions as required to achieve the investor protection goals of the Department.

Duties and Responsibilities:
  • Supervises, trains, manages, and evaluates Division personnel, including teams of attorneys, investigators (including full-authority law enforcement officers), forensic accountants, and support staff; closely reviews and edits all written work product of the Division, including correspondence, pleadings, notices, subpoenas, discovery requests / responses, orders, and similar documents; obtains regular updates on all open cases and investigations; prepares written reports and summaries of all open cases for the Director; manages the workload among Division staff.
  • Creates, implements, and monitors policies, procedures, and systems related to the intake and evaluation of new investor complaints; the investigation and prosecution of suspected violations of the Illinois Securities Law and the related Rules and Regulations, including registration, licensing, and corporate finance violations, as well as suspected fraud in the sale of securities; establishes priorities with respect to resources to be devoted to any particular case or investigation; in consultation with the assigned attorneys, investigators, and accountants, makes recommendations to the Director on litigation strategy and/or settlement strategy for each open case.
  • Act as an attorney for the Department, as needed, in administrative and court proceedings, including taking depositions, drafting pleadings and motions, examining and cross-examining witnesses, presenting evidence at hearing, making opening statements and closing arguments, and performing all other pre-trial and trial-related activities; coordinates investigations with state prosecutorial agencies, foreign/state regulatory agencies and federal regulatory and prosecutorial agencies.
  • Researches and writes memoranda of law for complex legal issues as they relate to securities law enforcement; proposes rule and statutory changes to the Director, participating in drafting legislation and amendments to the Rules and Regulations; confers with the Director on matters before state and federal courts.
  • Represents the Department at appropriate industry events, such as NASAA conferences, community engagement activities, and joint task force meetings.
  • Performs other duties as required or assigned.

Specific Skills:
  • Requires thorough knowledge of the functions and organization of State government.
  • Requires extensive knowledge of the principles of business accounting, program budgeting, and personnel management.
  • Requires working knowledge of data processing business applications.
  • Requires ability to develop and administer complex or multiple statewide programs.
  • Requires ability to analyze administrative problems and adopt an effective course of action.
  • Requires ability to develop, install and evaluate new and revised methods, procedures and performance standards.
  • Requires ability to exercise judgment and discretion in the formulation, implementation, and interpretation of departmental policies and procedures.
  • Requires ability to develop and maintain cooperative working relationships with other administrative, managerial, supervisory or professional staff.
  • Requires possession of a valid Illinois driver’s license and a willingness to travel in the performance of assigned duties.

Education and Work Experience:

Minimum Qualifications: Law degree from an ABA-accredited law school and currently a member of the Illinois State Bar, or the Bar of another state that has reciprocity with Illinois; at least eight (8) years of total work experience as an attorney, with at least four (4) years focused on some aspect of securities regulation; demonstrated experience managing a staff.   

Preferred Qualifications: At least three (3) years of experience working for a federal or state regulator, with a focus on securities litigations, enforcement, or compliance and five (5) years of managerial experience supervising a professional staff.

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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