Employment Opportunities

Prosecution Assistance Unit Attorney

The Prosecution Assistance Unit (PAU) Attorney with the Indiana Secretary of State, Securities Division serves as the liaison between the Division and county and federal prosecutors.  The PAU Attorney will regularly travel the state to assist prosecutors and/or law enforcement during the prosecution of securities cases.  The PAU Attorney will provide whatever level of engagement a county or federal prosecutor requests.  Level of engagement may range from research/support to being deputized as lead prosecutor on an action.  The PAU Attorney’s case load will continually include a number of actions requiring hearings, depositions, etc.  The PAU Attorney is expected to be an active participant with the North American Securities Administrators Association (NASAA) and the Indiana Prosecuting Attorneys Council (IPAC).  The PAU Attorney will perform other duties as assigned by the Commissioner or Senior Enforcement Counsel.

Qualifications: Minimum requirements include a law degree, admission to practice in the state of Indiana and 3 years of experience practicing criminal law.

Salary range for this position is $60,000 to $64,000/year

Please apply via the Indiana job board: www.workforindiana.in.gov

Job ID # ­­619196

Examiner

The Examiner with the Indiana Secretary of State, Securities Division will perform onsite examinations of state registered investment advisers and broker-dealers located in Indiana.  The examinations may be announced or unannounced and also may be for cause or as part of a random selection process.  The examination will involve a review of the financial books and records of the service provider, a review of client accounts, and potentially an interview with the service provider, to determine compliance with the Indiana Uniform Securities Act.  Results of the examinations will be documented in a report for further review by the Securities Division. Testifying in administrative hearings or in court is a possibility.

Three to five years of experience in the financial services industry is preferred.  A relevant advanced degree may be substituted for financial services industry experience.

Pay range this position is $40,000 - $45,000

Please apply via the Indiana job board: www.workforindiana.in.gov

Job ID # ­­619199