• Securities Senior Lead Enforcement Attorney

    State of Georgia (Fulton County, GA)


    Securities Senior Lead Enforcement Attorney

    • Georgia - Fulton - Atlanta (https://ga.referrals.selectminds.com/jobs/72831/other-jobs-matching/location-only)

     

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    Secretary of State, Georgia - SOS

     

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    5 days ago Post Date

     

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    POSITION SUMMARY: Under the supervision of the Securities Division (“Division”) Director, the Senior Securities Enforcement Attorney is the person primarily responsible for the Division’s investigation and prosecution of individuals and/or business entities suspected of violating the Georgia Uniform Securities Act of 2008 (“Act”).

    ESSENTIAL DUTIES and RESPONSIBILITIES:

    + Assists the Securities Director in developing and implementing the Division’s overall Enforcement objectives, setting Enforcement policies and procedures, and managing the Division’s Enforcement caseload.

    + Manages and mentors one or more junior Securities Enforcement Attorneys.

    + Conducts research and drafts various documents relating to the enforcement of the Act.

    + Analyzes case files including complex business and financial documents in connection with multiple open enforcement proceedings.

    + Reviews complaints from the general public as well as referrals from other regulatory agencies in an effort to determine whether enforcement action should be taken.

    + Leads case related meetings with legal and investigative staff.

    + Leads administrative hearings and informal conferences conducted by the Securities Division.

    + Maintains and applies a high level of expertise and knowledge of the Act as well as applicable federal securities laws.

    + Provides legal advice regarding the Act to Division staff members, such as Auditor/Examiners and Registrations personnel, as well as Division and agency management.

    + Drafts topical legal articles, web site content, as well as new or amended securities regulations.

    + Works with other state and federal securities regulators as needed.

    + Represents the Division at NASAA events as requested.

    + Manages the implementation of settlements, agreements, and/or legal judgments within approved guidelines.

    + Assists the Director in preparing no-action responses, informal interpretations, policy statements, and new rules and regulations.

    + Performs other duties as assigned.

    KNOWLEDGE, SKILLS and ABILITIES:

    + Knowledge of relevant Georgia and federal securities laws (statutes, court decisions, rules/regulations and other precedent) impacting securities registration/exemptions, investment advisers, broker-dealers and administrative procedure.

    + Legal research/writing and analysis skills.

    + Knowledge of legal methods and processes, including administrative/regulatory processes.

    + Ability to perform research and analysis with respect to business and financial matters.

    + Ability to draft various legal documents, such as administrative opinions/orders and legal memoranda.

    + Knowledge of technical legal writing.

    + Knowledge of contract law.

    + Knowledge of judicial procedures and rules of evidence.

    + Ability to communicate effectively both orally and in writing.

    + Ability to maintain oversight of multiple cases.

    + Ability to analyze, appraise and organize facts and present such materials in clear and logical form for oral and written presentation.

    + Ability to advise Division staff on points of law affecting the Division.

    + Ability to determine compliance with rules and regulations.

    + Supervisory management experience.

     

    SUPERVISION REQUIREMENTS: Responsible for supervising one or more Securities Enforcement Attorneys.

     

    MINIMUM QUALIFICATIONS: 2-5 years of legal experience in the securities field or in a closely-related financial field; excellent writing, communications and analytical skills are also required.

     

    Experience with and knowledge of Federal or State securities laws and regulations, previous experience in analyzing and investigating complex business/financial transactions, and participation in criminal, civil, or administrative proceedings also required.

     

    EDUCATION REQUIREMENTS : Graduate of an accredited law school with J.D. Degree and licensed (in good standing) to practice law in one or more states including GA.

     

    Juris Doctorate from an accredited college or university and license to practice law in the State of Georgia or eligibility to sit for the next Georgia Bar examination followed by Georgia Bar exam passage and licensure to practice law in the State of Georgia within one (1) year of hiring or reciprocity and two (2) years of relevant legal -experience; or two (2) years of experience required at the lower-level Attorney 2 (LEP021).

     

    Additional Information

     

    + Agency Logo:

    + Requisition ID: LEG02Q8

    + Number of Openings: 1

    + Advertised Salary: $105,000 - BOE

    + Shift: Day Job

    + Posting End Date: Oct 24, 2025