Chief of Registration, Examination and Compliance

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

Job Title:    Chief of Registration, Examination & Compliance
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: 
Subject to approval of the Director of the Securities Department, this position manages the Registration Examinations & Compliance (“REC”) Division, including planning, organizing, directing and evaluating the operation of the REC Division on a statewide basis.  Exercises responsibility for personnel management requiring the use of directions and independent judgment relative to subordinate personnel; formulates and implements major policy decisions for the REC Division programs; provides advice and consultation on technical questions and problems as they affect the overall operations of the Department; coordinates with other Divisions within the Department to achieve the investor protection goals of the Department. Position may be located in either Chicago or Springfield.

Duties and Responsibilities:
  • Supervises, trains, manages, and evaluates REC Division personnel, including registration specialists, a team of examiners, a team of attorneys, and support staff; closely reviews and edits all written work product of the Division, including correspondence and deficiency letters; obtains regular updates on all open registration and examination issues; prepares written reports and summaries of all open matters for the Director; manages the workload among REC Division staff.
  • Creates, implements, and monitors policies, procedures, and systems related to all aspects of the registration program, including registration of securities dealers, salespersons, investment advisers, and investment adviser representatives, as well as registration of securities and exemptions from registration; identifies compliance deficiencies uncovered through the registration process and supervises efforts to obtain full compliance; identifies potential enforcement issues arising out of registrations and refers matters to the Enforcement Division as necessary.
  • Creates, implements, and monitors policies, procedures, and systems related to all aspects of the examinations program for securities dealers, salespersons, investment advisers, and investment adviser representatives; identifies compliance deficiencies uncovered through the examination process and supervises efforts to obtain full compliance; identifies potential enforcement issues arising out of the examinations and refers matters to the Enforcement Division as necessary.
  • Acts as an attorney for the Department, as needed, in administrative and court proceedings that relate to registration or examination issues, including expungement issues; researches and writes memoranda on complex legal issues; considers and recommends changes designed to enhance the Department’s investor protection mission, including proposed legislation, rulemaking, internal organization, technology, systems, procedures, and personnel needs.
  • 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 and 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.  Will consider non-attorney with more than ten (10) years experience working in compliance at a senior level, either in the securities industry or as a securities regulator. 

Preferred Qualifications: At least three (3) years of experience working for a federal or state regulator, with a focus on securities registrations, examinations, 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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