Job Details

Corporate - Securities and Capital Markets Attorney in New York City, NY

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Company name

Office of the New York State Attorney General

Organization Type


Job Type


Practice Area

Corporate - Securities and Capital Markets

Years of Experience

Min 10 yrs required


USA New York City, NY

Date Last Verified

Jun 12,2018

Posted on

Jun 11,2018

21 hits


Assistant Attorney General The candidate will serve as the Securities Registration Section Director. Will have primary responsibility for overseeing all operational functions of the Securities Registration Section, including supervising a nine (9) person staff that processes and evaluates broker-dealer, investment adviser, and other registration forms and annual filings; overseeing and enhancing registration section processes; overseeing the implementation of technology improvements to modernize the Section's filing systems; maintaining and updating the Section's website; and managing special projects and initiatives. Report directly to the Bureau Chief. Supervise full-time staff assigned to the Securities Registration Section in New York City. Activities include, identifying and scheduling assignments, approving timesheets, and completing performance evaluations. Review all policies, procedures, and processes, and make recommendations for improvement. Implement new policies, procedures, and processes where appropriate. Act as chief liaison between the Securities Registration Section and the Information Technology Management Bureau. Initiate and drive technology projects as part of the Investor Protection Bureau's modernization and continuous improvement. Set priorities, assess needs, and coordinate development and testing. Develop legislative proposals and support for statutory and regulatory initiatives and amendments. Work with Section staff, including Senior Registration Counsel, to communicate effectively with registrants and their counsel regarding New York registration requirements and processes. Provide coaching, mentoring, and other assistance to staff as needed to facilitate teamwork and resolve complex human resource, productivity, and customer service related issues. Train and obtain training for staff regarding existing and new policies, procedures, and processes. Identify and record performance measures to promote efficient registration processes. Generate and review productivity reports and regularly review performance and other issues with Section employees in order to prioritize work. Act as Division of Administration liaison to resolve Securities Registration Section issues related to records disposition, equipment upkeep, budget, and human resource management. Oversee staff in assisting attorneys by, for example, monitoring registration compliance by subjects of investigation and parties to litigation, and generating reports from data maintained by the Section.

Qualification and Experience

The candidate must have 10+ years of experience in securities and financial services law and regulation. Should have knowledge of the Martin Act, federal securities laws, and other states' securities laws. Experience maintaining and/or modifying complex content management systems (e.g., Oracle databases) is preferred. Experience leading teams in a licensing, registration, certification, or other similar process environment is desired. Must be admitted to practice law in New York State.

Additional info

Reference No.: IPB_NYC_AAG/SRSD_3158. Apply online and submit cover letter, resume, writing sample, and list of 3 professional or references with contact information and email addresses.

Company info

Sandra Jefferson Grannum, Esq
Bureau Chief
Office of the New York State Attorney General
120 Broadway
New York City, NY 10271
Phone: 212-416-8080