Senior Legal Advisor (Attorney) - Enforcement

Office of the Illinois Secretary of State

Alexi Giannoulias

Job Title:    Senior Legal Advisor – Securities Department
Division:     Enforcement
Union:         N/A
Location:    421 E Capitol Ave, Springfield, IL – Sangamon County
Salary:        Range $5,985 to $12,888 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