Department of Professional and Financial Regulation (and Boards) - Office Of Securities
Job Class Code: CA31
Grade: 31 (Confidential)
Salary: $74,713 - $105,809
Location: Gardiner, ME
Opening Date: October 3, 2024
Closing Date: October 10, 2024

The Maine Office of Securities, an agency within the Department of Professional and Financial Regulation, protects Maine investors from fraudulent, deceptive and unethical practices in the securities business. The Office registers securities offerings, licenses and conducts examinations of investment firms and professionals, investigates complaints and brings enforcement actions, and promotes investor education.

The General Counsel serves as a member of the Office’s senior management team. Primary duties include managing legislative affairs, administrative rulemaking, and Freedom of Access and public records responsibilities, in close coordination with the agency head (the Securities Administrator). The General Counsel also provides legal advice and support to managers and staff of the Office’s three divisions (Corporation Finance, Examinations & Licensing, and Investigations & Enforcement).

Primary responsibilities include:  

• Drafting and reviewing proposed legislation and administrative rules.
• Providing legal and policy advice and counsel to the Securities Administrator and agency staff.
• Reviewing, responding to and tracking Freedom of Access Act requests.
• Drafting and overseeing the issuance of no-action letters and interpretive opinions.
• Representing the Securities Administrator and the agency at public events and on state and national working groups.

Skills or knowledge required:

• Experience with state securities law and regulation.
• Attention to detail and strong organizational skills.
• Maintaining clear communication and effective working relationships with Office staff, outside agencies, state officials and the general public.
• Being able to manage and prioritize multiple major projects.

Minimum qualifications:

A Law degree from an accredited law school 

Licensing, registration, certification requirements: (These must be met by all employees prior to attaining permanent status in this class).

Preference will be given to those applicants with:

• Familiarity with State policies and procedures relating legislation and rulemaking.
• Comfort with Microsoft collaboration tools including Teams, SharePoint, and OneDrive.

Contact information:

Questions about this position should be directed to Jesse Devine, Securities Administrator at Jesse.devine@maine.gov

Application Instructions:

Interested applicants need to apply online by selecting the "Apply for this opening" button along with uploading a cover letter, current resume, and copies of any transcripts or certifications you wish to have considered while evaluating your application.  In order for us to properly determine if you meet the minimum qualifications for any posting, you must be sure your resume includes month and year for any experience listed along with the duties and responsibilities associated with each particular time period.  Any experience that was not full-time employment should be identified as such. 

If you require a paper application, please download and print one here https://www.maine.gov/bhr/state-jobs/application-process or contact our office at 207-623-6700.  Paper applications for this posting should be submitted along with cover letter and resume before the closing date to Security & Employment Service Center, 45 Commerce Drive, Augusta, ME  04330 or faxed to 207-287-2018.  Be sure title of the job you are applying for is included.  Applications cannot be accepted after the posting closing date.  

Benefits of working for the State of Maine:

No matter where you work across Maine state government, you find employees who embody our state motto—"Dirigo" or "I lead"—as they provide essential services to Mainers every day. We believe in supporting our workforce's health and wellbeing with a valuable total compensation package, including:

• Work-Life Fit – Rest is essential. Take time for yourself using 13 paid holidays, 12 days of sick leave, and 3+ weeks of vacation leave annually. Vacation leave accrual increases with years of service, and overtime-exempt employees receive personal leave.
• Health Insurance Coverage – The State of Maine pays 85%-95% of employee-only premiums ($11,196.96 - $12,514.32 annual value), depending on salary. Use this chart to find the premium costs for you and your family, including the percentage of dependent coverage paid by the State. 
• Dental Insurance – The State of Maine pays 100% of employee-only dental premiums ($387.92 annual value). 
• Retirement Plan – The State contributes the equivalent of 13.41% of the employee's pay towards the Maine Public Employees Retirement System (MainePERS) for MSEA, or 18.21% for Confidential employees. 

State employees are eligible for an extensive and highly competitive benefits package, covering many aspects of wellness. Learn about additional wellness benefits for State employees from the Office of Employee Health and Wellness.

Note: Benefits may vary somewhat according to specific collective bargaining agreements and are prorated for anything less than full-time.

There's a job and then there's purposeful, transformative work. Our aim is to create a workplace where you can learn, grow, and continuously refine your skills. Applicants demonstrate job requirements in differing ways, and we appreciate that many skills and backgrounds can make people successful in this role. 

As an Equal Opportunity employer, Maine State Government embraces a culture of respect and awareness. We are committed to creating a strong sense of belonging for all team members, and our process ensures an inclusive environment to applicants of all backgrounds including diverse race, color, sex, sexual orientation or gender identity, physical or mental disability, religion, age, ancestry, national origin, familial status or genetics. 

If you’re looking for a great next step, and want to feel good about what you do, we’d love to hear from you. Please note reasonable accommodations are provided to qualified individuals with disabilities upon request.

Thinking about applying?

Research shows that people from historically excluded communities tend to apply to jobs only when they check every box in the posting. If you’re currently reading this and hesitating to apply for that reason, we encourage you to go for it! Let us know how your lived experience and passion set you apart.