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Legal Advisor II (Attorney) - Registration & Licensing

Legal Advisor II (Attorney) - Registration & Licensing

Illinois Secretary of StateSpringfield, IL, US
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Office of the Illinois Secretary of State Alexi Giannoulias Job Title :

  • Legal Advisor II – Securities Department Division :      Registration & Licensing Union :           N / A Location :       501 S Second St, Springfield, IL – Sangamon 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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    Attorney Ii • Springfield, IL, US