Ohio Careers – Attorney 4 [Securities Enforcement]

Job Description:

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.

Job Responsibilities:

Plans, directs & coordinates complex investigations of violations of the Ohio Securities Act and related white collar crime; conducts investigations & assists in pre-trial preparation (e.g., gather facts, interview witnesses & obtain relevant data, consolidate all financial & economic data into concise evidence, evaluates strengths & weaknesses of data gathered, identify merits of cases, creates a strategy for winning litigation, prepares preliminary, case status and final report, recommends controls & procedures to reduce & eliminate risk of economic loss); leads the examination, analysis & explanation of financial records of individuals & businesses & forms opinions about the information based on the evidence; obtains, perfects and preserves evidence to ensure admissibility in court proceedings, civil & criminal, collaborates with other law enforcement agencies and prosecutors on joint investigations with multi-jurisdictional impact. Serves in fiduciary relationship as a management level attorney within division of securities; maintains confidential relationship with Commissioner; performs research & analysis of legal issues; makes recommendations for actions to be pursued in enforcement regulatory administration; formulates and implements legal policies and procedures relative to Ohio securities laws; works with general business law, federal securities law, enforcement, provisions of Ohio Securities Act, and Title 29 and Title 13 of the Ohio Revised Code, Ohio Rules of Criminal Procedure and Ohio Rules of Civil Procedure, maintains case records; confers with supervisor & other attorneys concerning securities legal problems & procedures. Responsible for hearing preparation and witness testimony (e.g., prepares questions and conducts hearings pursuant to O.R.C. 1707.23 and sworn statements under oath, prepares exhibits for use at trial or any type of dispute resolution, including settlement negotiations, analyzes depositions, interrogations & related data, prepares for cross-examination & rebuttal of other party’s evidence, provides & delivers testimony at trials and hearings, including administrative, civil and criminal proceedings, works with the Ohio Attorney General Executive Agencies Division for preparation of administrative and civil proceedings, assists county prosecutors and state and federal prosecutors in the preparation and prosecution of cases. Performs other duties and responsibilities as required (e.g., participates in meetings and conferences and may represent the Commissioner of Securities at meetings; interviews prospective employees for the enforcement section,

Job Details:

Company: State of Ohio

Vacancy Type:  Full Time

Job Location: Pittsburgh, PA, US

Application Deadline: N/A

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