Missouri Secretary of State

Jefferson City, Missouri

The Director of Enforcement leads the Enforcement Section in all phases of its work, including complaint intake, investigation, and litigation.

Who are we?
The Missouri Securities Division is part of the Office of the Secretary of State and the state regulatory agency for the securities industry.
Through its three sections - Registration, Examinations, and Enforcement - the Division and its nearly twenty-person staff oversees and regulates securities-related activities occurring in, from, and into the state by both registered actors, such as broker-dealers and their agents and investment advisers and their representatives, as well as unregistered persons.



Job Number:  01-250319-02: Director of Enforcement


Company Name:  Missouri Secretary of State

 
Job Functions and General Responsibilities:
• The Director of Enforcement is an attorney with a background in or knowledge of securities law, securities enforcement and regulation, administrative and civil litigation and/or criminal prosecution.
• An understanding of the financial services industry, capital markets, investment and retirement issues, finance, and the federal and state laws pertaining to the securities industry is preferred.
• Must be able to manage and lead a large number of open cases and investigations toward prompt resolution.
• The ability to exercise sound, objective judgment on the merits of potential cases, and determine what enforcement action is warranted, is also needed.
• Must be an effective communicator, able to work with legal assistants, paralegals, and investigators with backgrounds in law enforcement and/or financial services and provide specific guidance and direction to those staff members.
• Should possess excellent organizational and time-management skills and have the ability to prioritize work effectively.
• Should possess strong written and oral advocacy skills, including the ability to manage discovery and conduct and defend depositions, and have the ability to work under deadline pressure.
• Should possess strong interpersonal skills and the ability to work on a team as well as have the ability to establish and maintain effective working relationships with peers, state and federal agencies, and the public.
• Must be proficient in various office related software including, but not limited to Microsoft Word, Microsoft Excel, and Microsoft Outlook, and must be proficient in legal research, including the use of Westlaw.
 

Knowledge, Skills, and Abilities:
• Solid understanding of Missouri civil and administrative procedure.
• Experience with drafting, editing and proofing pleading and other court documents.
• Strong legal research skills.
• Ability to communicate clearly and concisely, verbally and in writing, with internal and external parties, including outside attorneys and financial institutions.
• Ability to exercise good judgment and make independent decisions in accordance with general policy and objectives of the Division.
• Possess excellent organizational and time-management skills and have the ability to prioritize work effectively.


Qualifications:
The Director of Enforcement must have a law degree from an ABA-accredited law school and an active Missouri law license. Management experience and experience in the areas of securities law, business litigation, administrative law, civil litigation and/or criminal prosecution, or experience with a securities regulator is highly preferred.


The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.
 


Interested Parties/How to Apply:     

Please apply on our website:  https://sosmo.applicantpro.com/jobs/3627422