Illinois Secretary of State

Senior Legal Advisor (Attorney) - Enforcement

Securities - Chicago, IL - Full Time

Office of the Illinois Secretary of State

Alexi Giannoulias


Job Title:    Senior Legal Advisor – Securities Department
Division:     Enforcement
Union:         N/A
Location:    69 W Washington Ave, Chicago, IL – Cook County
Salary:        Range $6,996 to $10,000 monthly - commensurate with experience
Benefits:     https://cms.illinois.gov/benefits/stateemployee.html   

Overview: 

Serves as senior legal advisor to the Enforcement/Legal Division concerning Programs administered by the Chicago Legal Section, supervises staff attorneys in hearings, special investigations and research for the determination of facts, the issuance of administrative orders or decisions, or the drafting of complex Legislation, regulations, rules or procedures; counsels department administrative officials on matters of policy and organization; conducts or assists other attorneys on special cases which may have important implications in the department.

Duties and Responsibilities:

  • Performs professional supervisory work in helping to plan, organize, direct and coordinate the activities of the legal staff.  Supervises legal staff activities, implements operational procedures and coordinates workflow (caseload) among subordinate staff attorneys. Enforces adherence to accepted work standards, Secretary of State Policy Manual, Personnel Rules and assists in evaluation, of subordinate staff performance.
  • Conducts investigations of suspected securities fraud and violations; prepares and issues subpoenas, conducts depositions, interviews witnesses; contacts various other enforcement agencies to gather and perfect evidence for hearings engaging in legal research, plea bargaining and settlement.  Prepares and serves Temporary Orders to prohibit sales of securities and Notices of Hearing.
  • Acts as attorney for the department in adversary proceedings; presents evidence at hearings, examines and cross examines witnesses, makes initial and closing argu­ments to hearing officer. Coordinates investigations with state prosecutorial agencies, foreign/state regulatory agencies and federal regulatory agencies and federal regulatory and prosecutorial agencies.
  • Responds to inquiries from private attorneys and the securities industry-with respect to the status, meaning,-mechanics and, technical requirements of the Illinois Securities Law of 1953. Keeps up to date with the securities industry by attending seminars/training provided through NASAA, NASD and other regulatory agencies; develops and presents educational and financial literacy programs related to the securities industry to interested groups and organizations.
  •  Makes recommendations regarding outcome of investigations to Assistant Director recommending course of action to be taken by the department.
  • Provides advice and counsel to examiners and auditors "regarding, background searches of public records and other state agencies for organizational documents and prior activities of possible respondents. Extensive travel statewide is required.
  • Researches, drafts and writes memoranda of law on complex legal issues as they relate to securities law enforcement; proposes rules and statutory changes to the Director participating in drafting legislation and amendments to the Rules and Regulations; confers with Director, Chief Deputy Director and Assistant Director or matters before state and federal courts.
  • Using effective automation techniques, reviews, analyzes and recommends action on cases before the office being handled by staff examiners, auditors and staff using automation updates and rewrites office forms and form letters for improved operation procedures.
  • 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 three (3) years 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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