What are the responsibilities and job description for the Chief Counsel position at Missouri Secretary of State?
Job Description
Job Description
Definition :
The Chief Counsel provides legal advice and other support to the Commissioner of Securities and the Securities Division.
Who are we? The Missouri Securities Division is part of the Office of the Secretary of State and the state regulatory agency for the securities industry. Through its three sections - Registration, Examinations, and Enforcement - the Division and its nearly twenty-person staff oversees and regulates securities-related activities occurring in, from, and into the state by both registered actors, such as broker-dealers and their agents and investment advisers and their representatives, as well as unregistered persons.
Job Functions and General Responsibilities :
- Provide direct legal support to the Commissioner in the form of research, writing and legal counsel.
- Provide various support and legal advice to the Division's Enforcement and Registrations sections, including managerial oversight of Examinations Section.
- Keep current with legal, regulatory and industry developments and changes in securities laws affecting broker-dealers and investment advisers and their registered representatives and advise on impacts to the Securities Division.
- Conduct disclosure review of broker-dealer agent and investment adviser representative applications and make formal recommendation to the Commissioner to deny, revoke or suspend applications of registrants.
- Assist with drafting of legislation relevant to the regulatory mandate and operation of the Securities Division.
- Perform other duties as assigned by the Commissioner.
Knowledge, Skills, and Abilities :
Qualifications :
The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.
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