Attorney 5

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 Attorney 5 will: Act as senior attorney for the compliance section of the Ohio Division of Securities- providing advice and direction on investment advisor/broker dealer issues and to a lesser degree, corporation finance issues.

Provide legal and strategic advice to Commissioner and Compliance Director to (1) protect Ohio investors from investment scams; and (2) help encourage investment activities.

Meet with other governmental agencies and industry stakeholders regarding compliance issues (SEC, FINRA, NASAA, and other states). Plan, direct and coordinate the Division's administrative hearings on licensing issues.

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