ABOUT THIS POSITION :
The Office of the Secretary of the Commonwealth is seeking a RICE Attorney for its Securities Division.
The Registration, Inspections, Compliance and Examinations (RICE) Section’s mission is to protect Massachusetts investors by focusing on the registration and regulation of broker-dealers, agents, investment advisers, investment adviser representatives, and exempt reporting advisers. The RICE Section also conducts comprehensive examinations and inspections of state-registered investment advisers to determine compliance with state and federal securities laws and regulations and to ensure that these investment advisers meet the fiduciary obligations they owe to their clients.
Furthermore, the RICE Section conducts investigations into potential violations of Massachusetts securities laws pursuant to chapter 110A of the Massachusetts General Laws (the Act) and the corresponding regulations. When warranted, the RICE Section brings administrative proceedings to prevent future registration infractions and seeks redress for prior violations of the Act.
Well-qualified applicants are organized, efficient, and highly motivated self-starters who are committed to public service. Our hybrid model allows for one telework day per week for most positions.
RESPONSIBILITIES:
- Conduct comprehensive reviews of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives;
- Conduct routine examinations or for cause examinations to ensure compliance with the Massachusetts Uniform Securities Act;
- Investigate and litigate assigned RICE related matters;
- Draft administrative complaints, procedural and substantive motions, responsive pleadings, and legal memoranda;
- Draft undertakings for conditional registration, offers of settlement, and accompanying consent orders;
- Communicate with Securities Division officials at all levels, including supervisors, coworkers, staff in private industry and other agencies;
- Manages workload to ensure timely application reviews , setting priorities, and determining short- or long-term goals and strategies to achieve them;
- Participate in investment adviser outreach (in-person training, newsletters); and
- Take complaints and answer questions from the general public as assigned.
KNOWLEDGES, SKILLS, AND ABILITIES REQUIRED :
- Must possess strong analytical skills;
- Ability to identify relevant issues, facts, and authority and effectively apply to the facts presented;
- Exceptional writing and verbal communication skills;
- Ability to multitask multiple projects while meeting deadlines;
- Excellent time-management skills; and
- Proficient on Microsoft Office Products (Word, Excel, PowerPoint).
ABOUT US:
The Secretary of the Commonwealth’s office comprises 23 departments across 19 locations around Massachusetts.
As the third-ranking constitutional officer in Massachusetts, the Secretary of the Commonwealth serves as the chief election officer, chief information officer, and chief securities regulator in Massachusetts. Additionally, the office is charged with registering business entities and lobbyists, distributing grants for historic preservation, safeguarding the state’s public records and artifacts, and much more.
Whatever your background or area of interest, there is a place for you at the Secretary of the Commonwealth’s office.
STATEMENT OF DIVERSITY AND ANTI-DISCRIMINATION:
The Office of the Secretary of the Commonwealth is an Equal Opportunity Employer. As a representative of the Commonwealth and its residents, the Office strives to ensure that those working in our office reflect the diversity of the communities we serve. The Office encourages applicants from a broad spectrum of backgrounds to apply for positions.
It is the policy of The Office of the Secretary of the Commonwealth to provide equal employment opportunities without regard to race, color, religion, sex, national origin, age, disability, marital status, veteran status, sexual orientation, genetic information or any other protected characteristic under applicable law.
DISABILITY ACCOMMODATION:
Qualified individuals with disabilities are encouraged to apply. We will gladly assist applicants in need of an accommodation. For assistance, contact ADA Coordinator Michael Owens at 617-312-3272 or michael.owens@sec.state.ma.us.
COVID-19 VACCINATION REQUIREMENT FOR EMPLOYMENT:
As a condition of employment, successful applicants will be required to have received COVID-19 vaccination or an approved exemption as of their start date. Details relating to demonstrating compliance with this requirement will be provided to applicants selected for employment. Applicants who receive an offer of employment who can provide documentation that the vaccine is medically contraindicated or who object to vaccination due to a sincerely held religious belief may make a request for exemption.
REMOTE WORK:
This position is not eligible for remote work.
TOTAL COMPENSATION:
As an employee of the Commonwealth of Massachusetts, you are offered a great career opportunity to influence a wide spectrum of services to the diverse populations we serve – but it is more than a paycheck. The State’s total compensation package features an outstanding set of employee benefits that you should consider towards your overall compensation, including:
- 75% state paid medical insurance premium
- Reasonable Dental and Vision Plans
- Flexible Spending Account and Dependent Care Assistance programs
- Low cost basic and optional life insurance
- Retirement Savings: State Employees’ Pension and a Deferred Compensation 457(b) plan
- 12 paid holidays per year and Sick, Vacation, and Personal Time
- Tuition benefits for employee at state colleges and universities
- Short-Term Disability and Extended Illness program participation options
- Incentive-based Wellness Programs
- Professional Development and Continuing Education opportunities
- Qualified Employer for Public Service Student Loan Forgiveness Program
- The salary for this position starts at $62,500
HOW TO APPLY:
To apply please send: 1) a copy of your resume 2) a cover letter 3) 3 references to careers@sec.state.ma.us
DO NOT APPLY USING MA.GOV
Qualifications:
QUALIFICATIONS :
- Applicants must possess a J.D. from an ABA-accredited law school and be able to successfully pass the Massachusetts Bar Exam.
Prior experience in the securities field and knowledge of state and federal securities laws is preferred but not required.