Job Description

Job Description

Job Description

Definition:

The Missouri Securities Division seeks a motivated law school student for a summer internship to assist with critical functions across registration, enforcement, examinations, investor protection and education. This role offers valuable exposure to securities regulation and the opportunity to contribute to the division's mission to protect Missouri investors.

Job Functions and General Responsibilities for Registration:

• Under the direction of the Director of Registration and Investor Protection and their staff, assist in reviewing and processing securities registration applications
• Help maintain accurate records of registered securities and industry professionals

Job Functions and General Responsibilities for Enforcement:

• Under the direction of the Director of Enforcement and their staff, support investigations into potential securities law violations through the various research techniques used by the division
• Assist in preparing case files and legal documents for enforcement actions

Job Functions and General Responsibilities for Examinations:

• Under the direction of the Chief Counsel and their staff, aid in conducting compliance examinations of broker-dealers and investment advisers
• Help analyze examination findings and prepare reports

Job Functions and General Responsibilities for Investor Protection and Education:

• Under the direction of the Director of Registration and Investor Protection and the Investor Protection and Education Specialist, contribute to the development of investor education materials
• Assist in organizing and conducting investor outreach events

Job Functions and General Responsibilities Related to the Commissioner of Securities:

• Review the Missouri Securities Act of 2003, the law under which the Securities Division operates, for possible updates to ensure the act is relevant to the current environment for the securities industry products and services, Missouri investors, and Missouri citizens who are vulnerable to scams.

Knowledge, Skills, and Abilities:

• Strong analytical and research skills
• Excellent written and verbal communication abilities
• Attention to detail and organizational proficiency
• Ability to work independently and as part of a team
• Interest in securities law and financial regulation
• Proficiency in legal research tools and Microsoft Office suite
• Should be an effective communicator with strong presentation skills, and be comfortable speaking with members of the public in both large and small groups.
• Must be familiar with, and follow developments in, securities markets, trends, particularly in the areas of fraud and scams, investing, and the investments and financial services industry.

Qualifications:

Current enrollment in an accredited law school program. Completion of at least one year of law school. Coursework in securities law, business law, or related fields preferred. Strong academic record. Ability to work at least 20-24 hours per week during the summer. Knowledge and/or prior experience with financial services industry is highly preferred but not required.

The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.

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