Attorney 5 – Control Bid Attorney
Ohio Department of Commerce
Location: Columbus, Ohio
The Mission of the Ohio Department of Commerce is promoting prosperity by protecting what matters most.
As the state’s chief regulator, the Department of Commerce impacts Ohioans every day. We are motivated by our mission to promote prosperity for businesses and licensees by protecting what matters most to the residents of our state. We ensure compliance through proactive outreach, education, and customer-focused service.
Commerce is comprised of seven operating divisions and two standalone programs that span a variety of industries including real estate, liquor, banking, securities, firefighting, construction and skilled trades, and medical marijuana. Through exceptional compliance practices and oversight, Commerce has a direct role in protecting Ohioans.
What you’ll do:
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.
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.