StateJobsNY

NY HELPNo

AgencyAttorney General, Office of the

TitleAssistant Attorney General - Investor Protection Bureau - Securities Registration Section (NYC)

Occupational CategoryLegal

Salary GradeNS

Bargaining UnitM/C - Management / Confidential (Unrepresented)

Salary RangeFrom $0 to $0 Annually

Employment Type Full-Time

Appointment Type Permanent

Jurisdictional Class Exempt Class

Travel Percentage 0%

Workweek Mon-Fri

Hours Per Week 37.5

Workday

From 8:30 AM

To 5 PM

Flextime allowed? No

Mandatory overtime? No

Compressed workweek allowed? No

Telecommuting allowed? No

County New York

Street Address 28 Liberty Street

City New York

StateNY

Zip Code10005

Minimum Qualifications Candidates will possess the following qualifications and experience:
• A minimum of five (5) years of experience in securities and financial services law and regulation;
• Advanced knowledge of federal registration and Blue Sky Laws;
• Prior experience supervising staff, including leading teams in a licensing, registration, certification, or similar environment, is required;
• Excellent problem solving, project management, and communication skills;
• Demonstrated ability to proactively manage a robust portfolio of cases/matters in a highly organized and effective way;
• Experience with CRD/IARD and associated filings (e.g. Form U4, U5 and ADV) is preferred; and
• Experience with Broker Dealer and Investment Adviser examinations is also preferred.

Applicants must reside in (or intend to soon become a resident of) New York State and be admitted to practice law in New York State. In addition, the Public Officers Law requires that attorneys in the Office be citizens of the United States. A two (2) year commitment upon being hired is a condition of employment.

Duties Description The Investor Protection Bureau (IPB) of the New York State Office of the Attorney General is seeking an experienced attorney and manager for the Securities Registration Section (SRS). The IPB, which has both regulatory and enforcement authority, is responsible for protecting the public from fraud by requiring brokers, dealers, securities salespersons, and investment advisers to register with the Office. The position is located in New York City

The AAG’s duties and responsibilities will include but not be limited to the following:
• Assisting the Securities Registration Director with the management of the SRS’s day-to-day operations and related enforcement actions;
• Supervising and coordinating the workflow for the SRS’s nine (9) staff members including identifying and scheduling assignments, troubleshooting issues, and ensuring effective communication and interaction with registrants and their counsel regarding New York registration requirements and processes;
• Investigating and litigating registration related cases and other violations of the Martin Act;
• Reviewing and making recommendations to implement new and update existing policies, processes, and procedures;
• Initiating and driving technology projects as part of the IPB’s larger modernization and continuous improvement plan; and
• Supporting the development of legislative proposals for statutory and regulatory initiatives and amendments.

Additional Comments OAG employees serve more than 19.85 million state residents through a wide variety of occupations. We offer a comprehensive New York State benefits package, including paid leave, health, dental, vision and retirement benefits, and family-friendly policies. As an employee of the OAG, you will join a team of dedicated individuals who work to serve the people of our State.

Candidates from diverse backgrounds are encouraged to apply.
The OAG is an equal opportunity employer and is committed to workplace diversity.

Salary commensurate with experience.

PLEASE NOTE: Unless otherwise specified in the “Notes on Applying” section, the “Application Due” date associated with this posting is not the last day applications can be submitted. Applications for this position will be accepted by the hiring bureau on a rolling basis until a candidate is selected; recruitment for this position can be closed or suspended at any time. For the most current information on available position vacancies, applicants are advised to review the Office of the New York State Attorney General website (www.ag.ny.gov/job-postings) or contact the Legal Recruitment Bureau via email at recruitment@ag.ny.gov or phone at 212-416-8080.

Some positions may require additional credentials or a background check to verify your identity.

Name Legal Recruitment

Telephone

Fax

Email Address xxxxxxxxxxx@xx.xx.xxx

Address

Street NYS Office of the Attorney General - Legal Recruitment Unit

28 Liberty Street

City New York

State NY

Zip Code 10005

Notes on ApplyingHOW TO APPLY
Applications are being received online. To apply, please visit our careers website at http://www.ag.ny.gov/job-postings. The reference number for the position is IPB_NYC_AAG/SRSD_3256.

Applicants must be prepared to submit a complete application consisting of the following:
• Cover Letter (You may address to Legal Recruitment)
• Resume
• List of three (3) references with contact information and email addresses
• Writing Sample

Please note: Failure to submit a complete application will delay the consideration of your application.

If you have questions regarding a position with the OAG and the application process or you need assistance with submitting your application, please contact Legal Recruitment via email at recruitment@ag.ny.gov or phone at 212-416-8080.

For more information about the OAG, please visit our website: ag.ny.gov