Attorney 5 - Senior Compliance Attorney (Hybrid) 20078157

Commerce is currently operating under a hybrid schedule that may incorporate both teleworking and in-person office hours. Employees must be able to report to the office when requested by management &/or for their initial job training.

The Division of Securities protects Ohioans' life savings and investments by administering and enforcing the Ohio Securities Act. This includes licensing the professionals who sell products - brokers-dealers, securities salespeople, investment advisers and investment adviser representatives - and registering products for sale. When Ohio securities laws are violated, the division can pursue administrative and civil actions, and criminal referrals. The division's outreach efforts help educate consumers, so they avoid becoming victims of financial fraud.

• Directs and helps oversee corporation finance (i.e., product registration) programs in Division (including mutual fund filings and NASAA's electronic filing depository).
• Provides senior-level legal representation to the compliance section of the Ohio Division of Securities, particularly with respect to issues relating to corporation finance, product registration and licensing.
• Reviews (and develops policies designed to review) issuer-prepared material for both exempt and registered offerings in Ohio to ensure compliance with the Ohio Securities Act.
• Collaborates with federal (i.e., SEC and FINRA) and state counterparts to develop rules and policies designed to "promote prosperity by protecting what matters most"- in this case, promoting capital formation while protecting vulnerable investors.
• Consults with and provides legal and strategic advice to Commissioner and Compliance Director.

At the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees*. For a list of all the State of Ohio Benefits, visit our Total Rewards website ! Our benefits package includes:

• Medical Coverage
• Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period
• Paid time off, including vacation, personal, sick leave and 11 paid holidays per year
• Childbirth, Adoption, and Foster Care leave
• Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more)
• Public Retirement Systems ( such as OPERS, STRS, SERS, and HPRS ) & Optional Deferred Compensation ( Ohio Deferred Compensation )

*Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position.

Qualifications

Admission to Ohio Bar pursuant to Section 4705.01 of Revised Code; 18 mos. exp. as licensed attorney; 6 mos. exp. in supervisory principles/techniques.

Job Skills: Attorney/Legal