Attorney 5 – Senior Compliance 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.

The Ohio Department of Commerce Division of Securities is currently seeking candidates to fill an Attorney 5 position that will act as Senior Compliance Counsel. The Attorney 5 will perform the following duties which include, but are not limited to:

  • Directs and oversees licensing programs in Division (including examination and CRD)

  • Acts as liaison with other governmental agencies regarding licensing issues (SEC, FINRA, NASAA, other state governments)

  • Plans, directs and coordinates the Division’s program for the conduct of administrative hearings on licensing issues;

  • Updates Division rules as necessary;

  • Provides legal and strategic advice to, and consults with, 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.

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