Securities Analyst (JD Preferred)

United Trading Group; Salt Lake City (UT); Hybrid; USD 92,000 - 102,000; Full time

Benefits offered by this job

Benefits package

Job summary

Utah Department of Commerce – Division of Securities seeks a Securities Analyst (JD Preferred) to join a team regulating the securities industry. The role involves drafting documents, coordinating with agencies, and presenting settlements to the Utah Securities Commission.

A JD or equivalent securities regulator experience is required, with hybrid telework after the training period. The position offers a full benefits package, in-office location in Salt Lake City, and a background check.

Qualifications

• JD from ABA-accredited law school or 4+ years with FINRA, SEC, or securities regulator
• Hybrid telework up to 3 days/week after training
• Proficiency in Microsoft Word and Excel or Google equivalents

Responsibilities

• Draft pleadings, stipulations, orders and other documents in administrative proceedings
• Review Division procedures for statutory compliance
• Coordinate regulatory, investigative and enforcement matters with agencies
• Present settlements or matters to the Utah Securities Commission
• Respond to expungement orders and administrative removal requests
• Act as case agent and witness in hearings
• Conduct investigations into alleged securities violations
• Prepare cases with examiners and investigators and gather evidence

Skills

Excellent communication

Strong analytical skills

Independent and collaborative

Interpersonal skills

Education

JD from ABA-accredited law school

Utah Bar license (preferred)

Tools

Westlaw

LexisNexis

Pacer

Xchange

Job description

Securities Analyst (JD Preferred)

FT / PT Status – Full-Time
Benefits Eligibility – This position is eligible for a full benefits package.
Salary – $44 - $49 Hourly Wage
Remote Work / In-Office – Hybrid
Application Deadline – 9/10/2026*

*This job posting may close at any time after the minimum advertising period of three (3) business days has passed, should a sufficient applicant pool be received.

Are you a lawyer with great writing skills looking for a better work-life balance, have experience or an interest in securities law, and are ready to take on a new challenge? If so, apply for the Department of Commerce, Division of Securities’ Securities Analyst position. Telework is not available during training (3-9 months), then 2-3 days of telework may be approved if eligibility requirements are met.

Key Responsibilities

• Drafting pleadings, stipulations, orders, and other documents used in administrative proceedings.
• Reviewing Division procedures for statutory compliance.
• Coordinating Utah regulatory, investigative, and enforcement matters and issues with other state, federal, and private sector agencies.
• Presenting proposed settlements or other matters as delegated by the Director to the Utah Securities Commission.
• Responding to expungement orders and administrative removal requests.
• Acting as case agent and witness as required in criminal, civil, and administrative hearings.
• Conducting investigations into allegations of a variety of inappropriate activities, rules infractions, or illegal actions.
• Working with examiners and investigators to prepare cases, conducting legal research and assisting in gathering evidence where necessary.
• Writing or drafting correspondence, reports, documents, and/or other written materials.
• Developing statutes and rules; obtain feedback from the regulated sectors; coordinate the rulemaking process; and monitor compliance with rulemaking requirements.
• Testifying at hearings to provide pertinent agency information and technical support.
• Acting as a resource for management and staff; provide technical support within the area of responsibility.
• Receiving, researching and responding to incoming questions or complaints; provides information, explains policy and procedures, and/or facilitates a resolution.
• Presenting at industry events or investor education programs on behalf of the Division.

IDEAL CANDIDATE

Our ideal candidate will have:

• Excellent verbal and written communication skills.
• An ability to distill complex subjects into easily understood language.
• A desire to always improve one’s skillset and abilities.
• Strong analytical skills.
• The ability to work both independently and collaboratively.
• The ability to take pride in one’s interpersonal skills.

Qualifications

Minimum or "day-one" qualifications:

• A JD from an ABA-accredited law school or four (4) or more years experience with FINRA, the SEC, or any other comparable securities regulator, or experience in a law firm specializing in or a firm regulated under the securities laws.
• Ability to attend the initial training period in-person at our Salt Lake City office, with the understanding that hybrid telework (up to 3 days per week) is available once you have demonstrated understanding and competency in the basic functions of the position.
• Proficiency in Microsoft Word and Microsoft Excel, and/or their Google counterparts.

Preferred or trainable/on-the-job qualifications:

• Utah Bar license in good standing, or an active bar license in any jurisdiction in good standing.
• At least three (3) years of legal work in a law firm, government agency, or similar work environment.
• General understanding of federal and state securities law.
• Experience in administrative law hearings or motion practice.
• Experience in reviewing, revising, and drafting administrative rules and regulations.
• Proficiency in legal research tools, including WestLaw, Lexis Nexis, Pacer, and Xchange.
• Ability and comfort with advocating for legal positions to clients and senior attorneys.
• Proven ability in legal writing through experience in litigation or similar work.

About the Role

Location – 160 East 300 South Salt Lake City, Utah, 84111 United States

Background Check Required – You must successfully pass a criminal history check.

Drug Test Required – No

Schedule Code – AR - Employees who make statewide policy

Why You Should Join Our Team

In Utah, we believe hard work is important, but balance is essential. Finding work/life balance is a vital element to our culture. To find out more about WHY Utah. Other benefits may include:

• Job Stability: Enjoy the security and reliability of employment within a well-established organization.
• Career Growth: Develop valuable skills and gain opportunities for leadership within a large organization.
• Meaningful Work: Contribute to an important service that benefits the community and supports organizational goals.
• Supportive Work Environment: Be part of a team that values cooperation, strong work ethics, and mutual support.

The Division of Securities provides you with an opportunity to work with a great team responsible for regulating the securities (investment) industry in the state and enforcing Utah's securities laws. This position will provide you with a variety of different cases and financial products to investigate without repetition. At the conclusion of the investigation, you are tasked with analyzing the case for potential securities violations and preparing necessary filings for administrative hearings or district court lawsuits, and no case is ever the same. Overall, Securities Analysts play an integral part in all aspects of the Division’s functions. This position offers a truly unique, ongoing and rewarding learning experience regardless of your level of expertise. For more information about our division, please.

The Agency

Department of Commerce is the licensing and registration agency for Utah's professional and business community. We provide oversight of business registrations, trademarks, Uniform Commercial Code filings, professional and occupational licensing, consumer protection, public utilities, securities, real estate and residential mortgage lending.

Supplemental Information

• Securities Analyst (job ID 14426).
• Valid driver license required to drive a motor vehicle on a highway in this state per UCA53-3-202(1)(a).
• Please note, a position's eligibility for remote work is established by agency management and is subject to change at their discretion at any time and for any reason.
• Effective July 1, 2021, in-state work rules require all work to be performed while physically within the state’s borders.
• We are interested in every qualified candidate who is eligible to work in the United States. We are unable to sponsor or take over sponsorship of an employment visa at this time.
• Risks found in the typical office setting, which is adequately lighted, heated and ventilated, e.g., safe use of office equipment, avoiding trips and falls, observing fire regulations, etc.
• Typically, the employee may sit comfortably to perform the work; however, there may be some walking; standing; bending; carrying light items; driving an automobile, etc. Special physical demands are not required to perform the work.

EEO Statement

The State of Utah is committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. We also consider qualified applicants regardless of criminal histories, consistent with legal requirements. For accommodations, please contact [phone].