Attorney (RLD #4100)

Posting Details

The New Mexico Regulation and Licensing Department (RLD) regulates individuals and businesses in 35 industries, professions, and trades across the state. The Securities Division of the Regulation and Licensing Department seeks to preserve and strengthen a free and competitive securities market for New Mexico, increase investor confidence and thereby encourage the formation of capital, to promote integrity, fairness, and full disclosure in financial services. It accomplishes this goal by:

Educating New Mexicans about the proper ways of raising investment capital and about the risks associated with investments;

Reviewing and approving some types of investment opportunities before issuers raise capital to ensure compliance with the law;

Discovering, stopping, and prosecuting those who violate the laws governing investment capital, or who commit fraud;

Licensing stockbrokers and investment advisers whose business is to assist and advise investors.

This posting is used for ongoing recruitment and may close at any time. Applicant lists may be screened more than once.

Why does the job exist?

Assists the Securities Division of the New Mexico Regulation and Licensing Department (RLD) in its enforcement of applicable securities laws. Occasional other duties as assigned by the Superintendent of the RLD or Chief General Counsel of the RLD.

How does it get done?

Works with the Enforcement Bureau of the Securities Division and other state and federal agencies to prosecute or implement other appropriate enforcement-related actions arising from violations of relevant securities laws.

Represents the Securities Division in trial courts, appellate matters, and administrative proceedings.

Drafts, reviews, and evaluates legal documents, pleadings, regulations, policies, legislation, and legal precedents.
Conducts discovery and interviews witnesses, researches, and analyzes a variety of issues, and proposes strategy on specific matters.

Occasional other duties as assigned by the Superintendent of the RLD or Chief General Counsel of the RLD. 

Negotiates settlements and integrates agency policies and legal positions with those of other state agencies to accomplish the State's overall policies and goals.

May conduct administrative hearings addressing constitutional, statutory, and regulatory requirements and writes recommendations or final decisions determining the relevant facts and applying relevant laws and regulations.

Consults with agency staff on the interpretation of court opinions and statutes, the application of rules and regulations, and related matters where the most serious legal issues are involved.

Who are the customers?

Possible investors and victims of securities crimes. The Securities Division of the Regulation and Licensing Department (RLD), and occasional assistance to other divisions of the RLD.

Ideal Candidate

Interest and/or experience in prosecuting white-collar crimes.
Extensive litigation experience at any level, i.e. magistrate court, criminal, civil, domestic, etc.
Interest and/or experience in finance and technology.
Ability to work in a team setting in conjunction with special agents, financial analysts, and other attorneys.
Ability to work autonomously and productively in order to independently manage assigned matters.
Desire to continually learn and understand evolving securities instruments and relevant legal requirements.
Desire to work with victims impacted by securities fraud.

Minimum Qualification

Juris Doctorate degree from an accredited school of law. Must be licensed as an attorney by the Supreme Court of New Mexico or qualified to apply for limited practice license.

Employment Requirements

All Attorney classifications must be and remain licensed as an attorney, in good standing, by the Supreme Court of New Mexico, or licensed as an attorney and in good standing by the highest court of another state and eligible pursuant to the limited license provisions (See Rules 15-301.1 and 15-301.2 NMRA). Candidate must possess and maintain a valid Driver's License and current Defensive Driving Course Certification from the State of New Mexico; or must obtain a Defensive Driving Course Certification within six (6) months of hire as a condition of continued employment. Pre-employment background investigation is required and is conditional pending results.

Working Conditions

Office setting, exposure to Visual/Video Display terminal (VDT), and extensive personal computer and telephone usage with extended periods of sitting.  Must be able to lift 25 lbs.  Occasional travel may be required.

Supplemental Information

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Agency Contact Information: Benjamin Schrope, (505) 231-7467 Email

For information on Statutory Requirements for this position, click the Classification Description link on the job advertisement.

Bargaining Unit Position

This position is not covered by a collective bargaining agreement.

Salary : $81,349 - $130,159