Department of Professional and Financial Regulation (and Boards) - Office Of Securities
Job Class Code: CA31
Grade: 31 (Confidential)
Salary: $74,713 - $105,809
Location: Gardiner, ME
Opening Date: October 3, 2024
Closing Date: October 10, 2024
The Maine Office of Securities, an agency within the Department of Professional and Financial Regulation, protects Maine investors from fraudulent, deceptive and unethical practices in the securities business. The Office registers securities offerings, licenses and conducts examinations of investment firms and professionals, investigates complaints and brings enforcement actions, and promotes investor education.
The General Counsel serves as a member of the Office’s senior management team. Primary duties include managing legislative affairs, administrative rulemaking, and Freedom of Access and public records responsibilities, in close coordination with the agency head (the Securities Administrator). The General Counsel also provides legal advice and support to managers and staff of the Office’s three divisions (Corporation Finance, Examinations & Licensing, and Investigations & Enforcement).
Primary responsibilities include:
- Drafting and reviewing proposed legislation and administrative rules.
- Providing legal and policy advice and counsel to the Securities Administrator and agency staff.
- Reviewing, responding to and tracking Freedom of Access Act requests.
- Drafting and overseeing the issuance of no-action letters and interpretive opinions.
- Representing the Securities Administrator and the agency at public events and on state and national working groups.
Skills or knowledge required:
- Experience with state securities law and regulation.
- Attention to detail and strong organizational skills.
- Maintaining clear communication and effective working relationships with Office staff, outside agencies, state officials and the general public.
- Being able to manage and prioritize multiple major projects.
Minimum qualifications:
A Law degree from an accredited law school.
Licensing, registration, certification requirements:
- Admitted to practice law in Maine and currently registered with the Maine Board of Overseers of the Bar.
Preference will be given to those applicants with:
- Familiarity with State policies and procedures relating to legislation and rulemaking.
- Comfort with Microsoft collaboration tools including Teams, SharePoint, and OneDrive.
Contact information:
Questions about this position should be directed to Jesse Devine, Securities Administrator at Jesse.devine@maine.gov.
Application Instructions:
Interested applicants need to apply online by selecting the "Apply for this opening" button along with uploading a cover letter, current resume, and copies of any transcripts or certifications you wish to have considered while evaluating your application.
In order for us to properly determine if you meet the minimum qualifications for any posting, you must be sure your resume includes month and year for any experience listed along with the duties and responsibilities associated with each particular time period. Any experience that was not full-time employment should be identified as such.
If you require a paper application, please download and print one here or contact our office at 207-623-6700. Paper applications for this posting should be submitted along with cover letter and resume before the closing date to Security & Employment Service Center, 45 Commerce Drive, Augusta, ME 04330 or faxed to 207-287-2018. Be sure the title of the job you are applying for is included. Applications cannot be accepted after the posting closing date.
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