Hybrid -Attorney 5 - Senior Compliance Counsel - 20061421

The Ohio Department of Commerce Division of Securities is currently seeking candidates to fill an Attorney 5 position that will act as Senior Compliance Counsel. The Attorney 5 will perform the following duties which include, but are not limited to:

• Directs and oversees licensing programs in Division (including examination and CRD)
• Acts as liaison with other governmental agencies regarding licensing issues (SEC, FINRA, NASAA, other state governments)
• Plans, directs and coordinates the Division’s program for the conduct of administrative hearings on licensing issues;
• Updates Division rules as necessary;
• Provides legal and strategic advice to, and consults with, Commissioner and Compliance Director.

The State of Ohio is a drug-free workplace which prohibits the use of marijuana (recreational marijuana/non-medical cannabis). Please note, this position may be subject to additional restrictions pursuant to the State of Ohio Drug-Free Workplace Policy (HR-39), and as outlined in the posting.

Applications must clearly indicate how the applicant meets the minimum qualification for the position. If you meet minimum qualification due to educational achievement, please submit a copy of your unofficial transcript(s) with your application. All answers to the supplemental questions must be supported by information provided in the work experience &/or education sections on your civil service application. Please do not use “see resume” as a substitution for the completed application; assumptions will not be made.

Application Status\: You can check the status of your application online by signing into your profile. Careers to which you’ve applied will be listed. The application status is shown to the right of the position title and application submission details.

The final candidate selected for this position will be required to undergo a criminal background check as well as other investigative reviews.  Criminal convictions do not necessarily preclude an applicant from consideration for a position, unless restricted under state or federal law or federal restrictions.  An individual assessment of an applicant’s prior criminal convictions will be made before excluding an applicant from consideration.

All final applicants tentatively selected for this position will be required to submit to urinalysis to test for illegal drug use prior to appointments. Testing will also be performed for the presence of marijuana. An applicant with a positive test shall not be offered employment unless the applicant submits medical documentation of legally prescribed medications or a recommendation for medical marijuana. Also, an applicant with a positive test will not be considered for any position with the State of Ohio for a period of one year.

At the State of Ohio, we take care of the team that cares for Ohioans. We provide a variety of quality, competitive benefits to eligible full-time and part-time employees*. For a list of all the State of Ohio Benefits, visit our Total Rewards website! Our benefits package includes:

• Medical Coverage
• Free Dental, Vision and Basic Life Insurance premiums after completion of eligibility period
• Paid time off, including vacation, personal, sick leave and 11 paid holidays per year
• Childbirth, Adoption, and Foster Care leave
• Education and Development Opportunities (Employee Development Funds, Public Service Loan Forgiveness, and more)
• Public Retirement Systems (such as OPERS, STRS, SERS, and HPRS) & Optional Deferred Compensation (Ohio Deferred Compensation)

*Benefits eligibility is dependent on a number of factors. The Agency Contact listed above will be able to provide specific benefits information for this position.

The Mission of the Ohio Department of Commerce 

is promoting prosperity by protecting what matters most.

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.

As the state’s chief regulator, the Department of Commerce impacts Ohioans every day.  We are motivated by our mission to promote prosperity for businesses and licensees by protecting what matters most to the residents of our state.  We ensure compliance through proactive outreach, education, and customer-focused service.

Commerce is comprised of eight operating divisions and one standalone program that span a variety of industries including real estate, liquor, banking, securities, firefighting, construction and skilled trades, and cannabis.  Through exceptional compliance practices and oversight, Commerce has a direct role in protecting Ohioans.

Our Guiding Principles

Making an IMPACT for the customer:

• Inclusive
• Motivated
• Proactive
• Accountable
• Customer-Focused
• Teamwork
  
  

For Information on Benefits, please click here.

Commerce is currently operating under a hybrid schedule that may incorporate both teleworking and in-person office hours. Employees must be able to report to the office when requested by management &/or for their initial job training. 

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

Ohio is a Disability Inclusion State and strives to be a model employer of individuals with disabilities. The State of Ohio is committed to providing access and inclusion and reasonable accommodation in its services, activities, programs and employment opportunities in accordance with the Americans with Disabilities Act (ADA) and other applicable laws.