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Arizona Corporation Commission

General Information


Job title: Securities Attorney
Job location: Phoenix, AZ 85007 United States
Requisition code:
Date posted: 01/17/14
Job type: Full-Time
Compensation: $75,000 - $85,000, depending upon experience

Job Classification

Job Category:Attorney

Job Description

Job description:
The Arizona Corporation Commission is hiring a Securities Attorney for the Registration and Compliance Section in its Securities Division. The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions as well as the registration and oversight of securities, securities dealers and salespersons, and investment advisers and their representatives; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.

This attorney will work under the direction of the Chief Counsel of Registration and Compliance, and specific duties include:

• Review applications for securities registration, dealer and salesperson registration, and investment adviser and investment adviser representative licensure, with primary responsibility resolving registration and licensing matters;
• Assist the public with questions concerning Arizona securities laws and regulations;
• Conduct legal research;
• Assist in rulemaking, legislation, and no-action letter requests;
• Oversee data reporting, database management, and selection of database solutions;
• Oversee management of in-house training materials and programs; and
• Assist compliance staff in the resolution of field examinations and field examination deficiencies.

Job Requirements

Education, training, experience:
Ideal candidates will have the ability to work effectively in a team environment and demonstrate the following knowledge, skills, and abilities:

• Excellent oral and written communication skills;
• Ability to analyze, interpret, and apply relevant statutes and rules;
• Ability to communicate effectively with representatives of a regulated industry;
• Ability to manage cases, files, and tasks independently and efficiently;
• Expertise in the area of administrative law, securities law, and securities industry practice; and
• Proficient computer skills in using MS Word, Access, Excel, and FINRA’s CRD/IARD system.

Candidate must be an active member in good standing with the State Bar of Arizona. Any offer of employment will be contingent upon the candidate’s satisfactory results of a background and criminal history investigation. Please submit a cover letter and writing sample with your resume.

A.R.S. Section 40-101 prohibits Commission employees from having certain interests in entities that the Commission regulates. Applicants shall be required to disclose any interests they may have in the regulated entities during the application process, and as a condition of employment, to divest themselves of any prohibited interests.

The State of Arizona provides an excellent comprehensive benefits package, including a top-ranked retirement plan, low-cost health coverage, supplemental policies such as vision and short-term disability, and generous leave programs. Our work environment offers multiple training opportunities, encourages career development, and offers employees the chance to make a difference in our state.

Established by the Arizona Constitution, the Arizona Corporation Commission is a medium-sized agency with offices in Phoenix, Tucson, and northern Arizona. We are led by five elected Commissioners and boast an average employment tenure of over 10 years. For more information about our agency's diverse mission, visit our website at We are an Equal Employment Opportunity Agency.

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