Chief of Registration Examinations & Compliance

IL Secretary of State Securities Dept.

Location: Chicago, IL or Springfield, IL

It's an exciting time to join the Securities Department of the Illinois Secretary of State. We are building a robust regulatory team in an effort to better protect Illinois investors. We strive to do so without placing undue burdens on legitimate capital formation activities. As the job title implies, this particular position leads and supervises three of our teams: Registration, Examinations, and Compliance. The Registration Team registers Investment Advisers, IARs, BDs and BD branches, salespersons (a/k/a Registered Representatives), Loan Brokers, and Business Brokers. That team also processes registration of securities offerings, including mutual funds, and exemptions from registration. The primary function of the Examinations Team is to conduct routine examinations of state-registered IAs and their agents, but they also conduct examinations of other licensed persons and entities on an as-needed basis. The Compliance Team consists of a small group of attorneys who advise on all aspects of Registrations and Examinations.

Although we prefer a licensed attorney for the role, we will consider non-attorneys with more than ten years' experience working in compliance at a senior level, either in the securities industry or as a securities regulator.