Download the Employment Application
To our applicants with disabilities: If you need assistance with this or any phase of the employment process, please contact our Human Resource Office at (573) 522-6254. Reasonable attempts will be made to accommodate your needs.
$3,418–$4,087/month or Salary commensurate with experience
James C. Kirkpatrick State Information Center
600 West Main St.
Jefferson City, MO 65101
The Enforcement Counsel works at the direction of the Chief Enforcement Counsel and Deputy Enforcement Counsel in the preparation and litigation of securities enforcement cases.
Job Functions and General Responsibilities:
The Enforcement Counsel manages a caseload of securities investigations and enforcement actions and works closely with, and at times directs, the efforts of, enforcement investigators. The Enforcement Counsel reviews case reports and recommendations from investigators and determines what action should be taken. The Enforcement Counsel prepares petitions, motions and discovery, drafts proposed orders, conducts depositions and negotiates consent orders. The Enforcement Counsel also prepares and presents cases for and at administrative hearing or civil trial. The Enforcement Counsel also makes recommendations concerning criminal referrals, and, at times, serves as a specially appointed assistant prosecutor or assistant attorney general. The Enforcement Counsel must be comfortable interacting with registered broker-dealers and investment advisers, opposing counsel, and with the public, especially senior victims. A senior Enforcement Counsel may also assist the Chief Enforcement Counsel with management of the Enforcement Section.
Knowledge, Skills and Abilities:
The Enforcement Counsel is an attorney with a background or interest in securities law, securities enforcement, administrative law and/or criminal prosecution. An understanding of the capital markets, investment and retirement issues, and finance is preferred. The Enforcement Counsel must be able to handle a large caseload and manage and move dozens of open cases and investigations at a time. The ability to exercise sound, objective judgment on the merits of potential cases, and what enforcement action is warranted, is also needed. The Enforcement Counsel must be an effective communicator able to work with investigators with backgrounds in law enforcement and/or financial services, and provide specific guidance and direction to those staff members. The Enforcement Counsel should have strong writing skills, the ability manage discovery and conduct and defend depositions, and strong advocacy skills.
The Enforcement Counsel must have a law degree from an ABA-accredited law school and an active Missouri law license. A background or experience in securities law, business litigation, financial planning, administrative law, civil litigation and/or criminal prosecution is preferred. The Enforcement Counsel must have the ability to travel extensively and on short notice.
Position posted June 12, 2013. The minimum posting period will end July 12, 2013. After the minimum posting period, the position may be closed to new applicants and filled at any time.
Application materials (cover letter, resume, completed application) may be mailed to: Attention: Enforcement Counsel, Human Resources, Office of the Secretary of State, P.O. Box 1767, Jefferson City, MO 65101. EOE.