9 Securities Registration Director Jobs in New York, NY
New York State Office of the Attorney General is Hiring a Securities Registration Director Near New York, NY
Division of Economic Justice
Investor Protection Bureau – New York City
Securities Registration Director
Reference No. IPB_NYC_SRD_6321
Application Deadline is May 3, 2024
The Office of the New York State Attorney General’s (OAG) Investor Protection Bureau (IPB) is seeking an experienced
manager to serve as the SecuritiesRegistration Director (SRD). IPB is responsible for protecting the public from fraud by
requiring brokers, dealers, securities salespersons, and investment advisers to register with the OAG. The SRD will be
responsible for overseeing all operational functions of the Securities Registration Unit, including supervising unit staff
who are responsible for processing and evaluating broker-dealer, investment adviser, and other registration forms and
annual filings; managing and enhancing registration processes; implementing technology improvements to modernize
the Unit’s filing systems; maintaining and updating the Unit’s website; managing special projects and initiatives; and
assisting IPB's Enforcement Section with investigation matters. The SRD position is located in the New York City office
and reports directly to the IPB Bureau Chief.
Duties:
- Management: Supervise the Securities Registration Unit’s team of nine (9) full-time staff. Activities will include,
completing performance evaluations, coordinating training and professional development opportunities, and
hiring, recruitment, and succession planning.
- Innovation: Review all policies, procedures, and processes, and make recommendations for
liaison between the unit and the Information Technology Bureau. Initiate and drive technology projects as part
of IPB’s modernization and continuous improvement planning. Set priorities, assess needs, and coordinate
development and testing for new technologies. Develop legislative proposals and support statutory and
regulatory initiatives and amendments.
- Leadership: Work with unit staff to ensure effective communication with registrants and their counsel regarding
staff to facilitate teamwork and resolve productivity, customer service, and human resources/labor relations
issues.
- Performance Measurement: Identify and record performance measures to promote efficient registration
unit employees to ensure continuous improvement and optimize the unit’s output.
- Unit Operations: Liaise with Division of Administration bureaus to resolve issues related to records disposition,
- Support IPB Investigations and Litigation: Oversee staff in assisting attorneys, for example, by monitoring
maintained by the unit. Resolve late filing registration issues. Investigate registration enforcement matters.
Qualifications:
- A minimum of five (5) years of experience in securities and financial services;
- Knowledge of state and federal securities laws;
- Excellent problem solving, project management, performance management, relationship management, and
- A demonstrated record of taking initiative and managing work and staff relationships in a highly organized and
collaborative way.
• Prior experience supervising and/or mentoring legal support staff;
- Experience leading teams in a licensing, registration, certification, compliance, or other similar processing
- Experience with licensing or registration related litigation; and
- Experience maintaining and/or modifying complex data management systems (e.g., Oracle databases).
The salary for this position is $133,879 $3,400 in location pay. As an employee of the OAG, you will join a team of
dedicated individuals who work to serve the people of our State through a wide variety of occupations. We offer a
comprehensive New York State benefits package, including paid leave, health, dental, vision, and retirement
benefits, and family-friendly policies. Additionally, the OAG offers a robust Workplace Flexibilities Program with
multiple options for employees, including telecommuting (up to two days per week) and alternative work schedules.
Candidates from diverse backgrounds are encouraged to apply.
The OAG is an equal opportunity employer and is committed to workplace diversity.
HOW TO APPLY
Applications must be submitted online.
To ensure consideration, applications must be received by close of business on May 3, 2024.
Applicants must be prepared to submit a complete application consisting of the following:
- Cover Letter
- You may address to Legal Recruitment.
- Indicate why you are interested in this position and what makes you a strong candidate. You may
wish to include information about what life experiences you will bring to the position that will
enhance IPB’s ability to better serve the diverse population of this state.
- Resume
- Writing Sample
- List of three (3) references
- Only submit professional references, supervisory references are preferred.
- For each reference, indicate the nature and duration of your relationship.
- Include contact information and email addresses for each reference.
- Please note that your references will not be contacted until after you interview for the position.
If you have questions regarding a position with the OAG and the application process or need assistance with submitting your
application, please contact Legal Recruitment via email at recruitment@ag.ny.gov or phone at 212-416-8080.
Job Summary
Full Time
$199k-263k (estimate)
04/24/2024
06/23/2024
Similar Jobs
Popular Articles
