Executive V - Enforcement

Chicago, IL

Full Time

Securities

Experienced



Office of the Illinois Secretary of State
Alexi Giannoulias

Job Title: Executive V - Securities
Division: Enforcement
Union:   N/A - Exempt
Location: 69 W Washington St, Chicago, IL – Cook County

Salary:        Starting at $7,000.00 monthly, commensurate with experience

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.

Duties and Responsibilities:

Supervise, train, manage, and evaluate Division personnel, including teams of attorneys, investigators (including full-authority law enforcement officers), forensic accountants, and support staff; closely review and edit all written work product of the Division, including correspondence, pleadings, notices, subpoenas, discovery requests / responses, orders, and similar documents; obtain regular updates on all open cases and investigations; prepare written reports and summaries of all open cases for the Director; manage the workload among Division staff.
Create, implement, and monitor 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 Act and the Rules and Regulations promulgated under the Securities Act, including registration, licensing, and corporate finance violations, as well as suspected fraud in the sale of securities; establish priorities with respect to resources to be devoted to any particular case or investigation; in consultation with the assigned attorneys, investigators, and accountants, make 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 depositions and other discovery; drafting pleadings, motions, and legal memoranda; preparing, examining, and cross-examining witnesses; presenting evidence at hearing; making opening statements and closing arguments; all other pre-trial and trial-related activities; and researching and writing memoranda on complex legal issues.
Consider and recommend changes designed to enhance the Department’s investor protection mission, including proposed legislation, rulemaking, internal organization, technology, systems, procedures, and personnel needs.
Act as the Department’s representative at appropriate events, such as NASAA conferences, community engagement activities, and joint task force meetings.
Other duties as may assigned by the Director or Deputy Director.

Specific Skills:

Requires thorough knowledge of the principles and practices of public and business administration.
Requires thorough knowledge of the functions and organization of State government.
Requires extensive knowledge of the principles of business accounting, program budgeting, personnel management and statistics.
Requires working knowledge of data processing business applications.
Requires ability to develop and administer a 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 estimate and budget for future needs and cost for personnel, space, equipment, supplies and services.
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.
Requires the possession of a law degree from an ABA-accredited law school and currently in good standing with the Bar of at least one state of the District of Columbia with ability to achieve Illinois law license prior to start date.

Education and Work Experience:
Requires knowledge, skill and mental development equivalent to the completion of law degree and minimum of ten years experience working as an attorney, with a focus on securities regulation, securities compliance and/or securities litigation, as well as five years of managerial experience in a public or business organization.

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.

Apply for this position

Required*

Apply with Indeed

First Name*

Last Name*

Email Address*

Phone*

Address*

Resume

We've received your resume. Click here to update it.

Attach resume or Paste resume

Attach resume as .pdf, .doc, .docx, .odt, .txt, or .rtf (limit 5MB) or Paste resume

Paste your resume here or Attach resume file

ILSOS Applicant Identification Number - Please provide your IL Secretary of State issued Applicant ID #, if known.

First time applicants will be provided an Applicant ID # on the grade notice issued in response to this application. Please make note of this number for use on future applications.

Middle Initial

County of Residence*

Employment desired - check all that apply.* Full TimePart TimeTemporary

County Preference - Eligibility will be granted in the IL Counties/Cook County Zones where preference is indicated; up to three may be selected.

County Preference 1*

County Preference 2

County Preference 3

Do you possess a valid driver's license?*

If Yes, DL State Issued by

If Yes, DL Class Rating

Education Report:

Please note: A copy of a certified college transcript/degree MUST be submitted to obtain credit for post high school educational achievement.

Highest Level of Education Completed?*

College/University Information

Major/Course of Study

Dates of Education

Attachment - Education Documents - Submit only once.

Are you fluent in language(s) other than English?

If Yes, provide details regarding language and fluency - speak/read/write

Are you currently a member of the Armed Services or National Guard/Reserves or a veteran of the U.S. military service?

To receive Veteran's Preference, submit a legible copy of a certified DD214/215, NGB22, U.S. Veterans Affairs award letter or letter from unit personnel indicating current service under honorable conditions.*

Are you seeking Veteran's Preference on behalf of a veteran as a qualifying parent or spouse?

If Yes, indicate branch of service.

Date of Service - Entry

Date of Service - Discharge

Attachment - Veteran's Preference Documentation - Submit only once.

Do you have one or more family members employed by the Secretary of State?

Family members includes any person who has established a party to a civil union or parties to a marriage pursuant to the law.*

If Yes, provide name and employing department for each.

Are you currently in default on the repayment of any educational loan?

State law requires an employee in default on repayment of any education loan for six months or more and in the amount of $600 or more shall, as a condition of employment, make satisfactory repayment arrangements with the maker or guarantor of the loan.*

Have you ever been fired from a job? (Downsizing/Layoff does not apply)*

If Yes, please provide a detailed explanation - employer, dates, reason, etc.

Experience Report:

Fully describe your work history beginning with your present position. It is important that you provide all requested information, dates of employment, hours worked per week, etc. If you held multiple positions with a single employee, list each position separately. Incomplete information may affect your ability to be considered. Additional work history or information may be provided as a single attachment.

Employer #1 - Name

Employer #1 - Address

Employer #1 - Telephone Number

Employer #1 - Job Title

Employer #1 - Dates of Employment

Employer #1 - Average Hours Worked per Week

Employer #1 - Job Duties

Employer #1 - Reason for Leaving

May we contact your current employer?

Previous Employer #2 - Name

Employer #2 - Address

Employer #2 - Telephone Number

Employer #2 - Job Title

Employer #2 - Dates of Employment

Employer #2 - Average Hours Worked per Week

Employer #2 - Job Duties

Employer #2 - Reason for Leaving

Previous Employer #3 - Name

Employer #3 - Address

Employer #3 - Telephone Number

Employer #3 - Job Title

Employer #3 - Dates of Employment

Employer #3 - Average Hours Worked per Week

Employer #3 - Job Duties

Employer #3 - Reason for Leaving

Previous Employer #4 - Name

Employer #4 - Address

Employer #4 - Telephone Number

Employer #4 - Job Title

Employer #4 - Dates of Employment

Employer #4 - Average Hours Worked per Week

Employer #4 - Job Duties

Employer #4 - Reason for Leaving

Attachment - Additional Job History/Information

Attachment - Other/Misc.

Employment Information:

Child support obligations: State law requires that you provide certain information about child support obligations at the time of hire. The possibility of employment is not affected by a child support obligation or default in payment.

Selective Service Registration: As a condition of employment, state law requires that “every male born on or after January 1, 1960, and less than 27 years old, shall submit documentation, at time of appointment, evidencing his registration with the Federal Selective Service System.”

Disclosure of Information: The Office of the Secretary of State requests disclosure of information that is necessary to accomplish the statutory purpose as outlined under 15 ILCS 310/10. Disclosure of this information is REQUIRED; failure to provide any information may result in rejection of this form.

I confirm that have read and understood the Employment Information disclosed above.*

I certify that answers given herein are true and complete to the best of my knowledge.

I authorize investigation of all statements contained in this application for employment as may be necessary in arriving at an employment decision. I understand that this application is not, and is not intended to be a contract of employment.

In the event of employment, I understand that false or misleading information given in my application or interview(s) may result in discharge or other disciplinary action. I understand that if hired I authorize the State of Illinois to conduct an investigation into all aspects of my qualifications and background; any individual, organization, or agency that maintains records relating to me to provide these records upon request to any agency of the State Illinois conducting such an investigation. This authorization is not limited to employment records, credit records, and criminal history records. I release any individual, organization, or agency from any and all liability incurred as a result of providing such records. Proof of citizenship or immigration status will be required upon employment.*

The following questions are entirely optional.

To comply with government Equal Employment Opportunity and/or Affirmative Action reporting regulations, we are requesting (but NOT requiring) that you enter this personal data. This information will not be used in connection with any employment decisions, and will be used solely as permitted by state and federal law. Your voluntary cooperation would be appreciated. Learn more.

Gender

Race/Ethnicity

Invitation for Job Applicants to Self-Identify as a U.S. Veteran

A “disabled veteran” is one of the following:
- a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or
- a person who was discharged or released from active duty because of a service-connected disability.
A “recently separated veteran” means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.
An “active duty wartime or campaign badge veteran” means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.
An “Armed forces service medal veteran” means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Veteran status

I IDENTIFY AS ONE OR MORE OF THE CLASSIFICATIONS OF PROTECTED VETERAN LISTED ABOVE
I AM NOT A PROTECTED VETERAN
I DON’T WISH TO ANSWER

Voluntary Self-Identification of Disability

Voluntary Self-Identification of Disability Form CC-305
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

Alcohol or other substance use disorder (not currently using drugs illegally)
Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
Blind or low vision
Cancer (past or present)
Cardiovascular or heart disease
Celiac disease
Cerebral palsy
Deaf or serious difficulty hearing
Diabetes
Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
Epilepsy or other seizure disorder
Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
Intellectual or developmental disability
Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
Missing limbs or partially missing limbs
Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
Partial or complete paralysis (any cause)
Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
Short stature (dwarfism)
Traumatic brain injury

Please check one of the boxes below:

YES, I HAVE A DISABILITY, OR HAVE HAD ONE IN THE PAST NO, I DO NOT HAVE A DISABILITY AND HAVE NOT HAD ONE IN THE PAST I DO NOT WANT TO ANSWER

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

You must enter your name and date
Name	Date

Submit Application

Thanks for visiting our Career Page. Please review our open positions and apply to the positions that match your qualifications.

ATTENTION APPLICANTS:

If you are using the Microsoft Edge web browser to access this site, you may experience issues when attempting to submit an application.

An immediate work-around would be to use Google Chrome or Mozilla Firefox web-browsers to access this site; both are available for free download from the internet.

We apologize for any difficulty this may cause and are working to resolve the issue as quickly as possible. Thank you for your understanding and your interest in employment with the Office of the Illinois Secretary of State.

You may contact the Department of Personnel if you have any questions.

Chicago: 312-793-5515

Springfield: 217-782-4783

Executive V - Enforcement

Apply for this position