Attorney (RLD #4100)

Posting Details

The New Mexico Regulation and Licensing Department 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 will be 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 in its enforcement of applicable securities laws.
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.

Negotiates settlements and integrates agency policies and legal positions with those of other state agencies to accomplish the States 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.

As a member of the legal staff of the Regulation and Licensing Department, the attorney in this position may be assigned as necessary to assist other divisions of the Department and perform other duties as assigned by the Superintendent of the Regulation and Licensing Department, the Superintendent's designee, or the General Counsel for the Department.
Who are the customers?

Possible investors and victims of securities crimes. The Securities Division of the Regulation and Licensing Department.

As noted above, as a member of the legal staff of the Regulation and Licensing Department, the attorney in this position may be assigned as necessary to assist other divisions of the Department and perform other duties as assigned by the Superintendent of the Regulation and Licensing Department, the Superintendent's designee, or the General Counsel for the Department.
Ideal Candidate

Possible investors and victims of securities crimes. The Securities Division of the Regulation and Licensing Department.

As noted above, as a member of the legal staff of the Regulation and Licensing Department, the attorney in this position may be assigned as necessary to assist other divisions of the Department and perform other duties as assigned by the Superintendent of the Regulation and Licensing Department, the Superintendent's designee, or the General Counsel for the Department.
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 (Rules 15-301.1 and 15-301.2 NMRA). For more information on limited practice licenses, please visit http://nmexam.org/limited-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.