POSITION SUMMARY:

• Under the supervision of the designated Division staff, the Enforcement Attorney (I) is charged with detecting violations to applicable securities and charities laws and having direct involvement in the investigation and prosecution of individuals or business entities that are in violation of the Georgia Uniform Securities Act of 2008 (“Act”), the Georgia Charitable Solicitations Act of 1988 and the Georgia Cemetery and Funeral Services Act of 2000.

ESSENTIAL DUTIES and RESPONSIBILITIES:

• Conduct research and drafts various documents relating to the enforcement of the Georgia Uniform Securities Act, the Georgia Charitable Solicitations Act of 1988, and the Georgia Cemetery and Funeral Services Act of 2000, collectively “the Acts.”
• Review complaints from the general public as well as from referrals from other regulatory agencies in an effort to determine whether enforcement action should be taken.
• Analyze case files including but not limited to complex business and financial documents in connection with multiple open enforcement proceedings.
• Review investigative reports and identify areas that require further investigation.
• Participate in case related meetings with designated agency legal and investigative staff.
• Participate in the preparation and coordination of cases prior to administrative hearings and informal conferences.
• Participate in and assist with administrative hearings and informal conferences conducted  by the Division.
• Participate in the implementation of settlements, agreements, and/or legal judgments within approved guidelines.
• Maintain and apply a high level of expertise and knowledge of the Georgia Uniform Securities Act, the Georgia Charitable Solicitations Act of 1988, and the Georgia Cemetery and Funeral Services Act of 2000, as well as applicable federal securities laws.
• Expand areas of subject matter expertise by researching and keeping up with regulatory trends and updated laws to report to and be a resource to Division management.

• Provide legal interpretation of the Acts to Division staff members, including but not limited to Compliance Examinations staff, registration analysts, licensure analysts, and Division and agency management.
• Assist designated Division staff with the registrations and compliance inspections of registered entities, including but not limited to charity organizations, cemeteries, investment advisers and broker-dealers.
• Research and analyze current statutory and case law affecting the agency and/or programs.
• Draft topical legal articles, web site content, as well as new or amended securities and charities regulations.
• Work with other state and federal securities and charities regulators as needed.
• Perform other duties as assigned.

KNOWLEDGE, SKILLS and ABILITIES:

• Knowledge of relevant Georgia and federal securities, charities laws and cemeteries laws (statutes, court decisions, rules/regulations and other precedent) impacting securities registration/exemptions, investment advisers, broker-dealers, charities and their solicitors, cemeteries and their agents and the administrative procedure.
• Legal research/writing and analysis skills.
• Knowledge of legal methods and processes, including administrative/regulatory processes.
• Ability to perform research and analysis with respect to business and financial matters.
• Ability to draft various legal documents, such as administrative opinions/orders and legal memoranda.
• Knowledge of technical legal writing.
• Knowledge of contract law.
• Knowledge of judicial procedures and rules of evidence.
• Ability to communicate effectively both orally and in writing.
• Ability to maintain oversight of multiple cases.
• Ability to analyze, appraise and organize facts and present such materials in clear and logical form for oral and written presentation.
• Ability to advise Division staff on points of law affecting the Division.
• Ability to determine compliance with rules and regulations.
• Ability to determine sufficiency of the information.
• Ability to determine other potential avenues for investigation.

SUPERVISION: None.

MINIMUM QUALIFICATIONS: Familiarity with laws, rules and regulations in a closely related financial industry field. Excellent writing, communications and analytical skills are also required. Admitted to practice law in at least one U.S state or eligibility to sit for Georgia bar exam.