Broker Dealer Attorney Jobs in Texas
-
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Austin, TX
Austin, TX
Type: Full Time | Posted Date: Nov 10, 2024
SUMMARY: - Job title: ERS - Securities/Investment Counsel (00046344) - Organization: Employees Retirement System - Location: Austin, Texas - Department: Legal - Employment status: Regular, full-time - Salary: $10,834.00 - $19,166.66 per month - Experience: 3-5 years in law practice, depending on classi...
-
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Houston, TX
Houston, TX
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Requirements Juris doctor (JD) from an accredited law school in the United States. Active member of the Bar. Minimum of 15 years of recent experience with a law firm, government agency, corporation, or regulatory body (or combination). Experience in an environment related to account...
-
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement The organization is currently seeking a Senior Litigation Counsel to join their Enforcement team. This role will be responsible for representing the organization in complex disciplinary and non-disciplinary proceedings, as well as handling appeals before the...
-
Tax - General Attorney in Austin, TX
Austin, TX
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Job Title: Tax Senior - Financial Services Industries - Hedge Fund Tax (Central Region Locations) Salary Range: $63,420 to $126,620 (based on experience and qualifications) Job Type: Full-time, permanent Experience: 3 years in tax planning or preparing/reviewing tax workpapers and returns Locat...
-
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Summary: - Job Title: Associate General Counsel, Regulatory - Organization: FINRA - Type: Full-time - Location: Hybrid work environment (remote/office) - Salary: Varies based on location and factors such as skill set, experience, and education - Job Requisition ID: R-008412 - Date Posted: Y...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: SEO friendly job title: Principal Investigator, VAST - Financial Crimes Program (NCFC) H1: Join FINRA as a Principal Investigator for the Vulnerable Adults and Seniors Team (VAST) H2: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults BOLD HEADLINES: - FINRA Hi...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director of Strategic Engagements & Publications will lead the Office of Strategic Engagement (OSE) in providing strategic leadersh...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 05, 2024
SUMMARY: About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, mar...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Senior Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA...
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while als...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Investigative Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable r...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Title: Principal Analyst, Risk Monitoring Organization: FINRA Department: Risk Monitoring Location: Any FINRA Location Salary Range: $92,500 - $200,200 Experience: Senior-level with relevant industry experience #H1: Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Essential Job ...
Law Student - Public Interest in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Summer 2025 Legal Intern Join the PCAOB as a Legal Intern and make a difference in global investor protection. We are a nonprofit organization established by Congress to oversee audits of public companies and SEC-registered brokers and dealers. Our mission is to protect investors and promote inde...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho,...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: The Vice President, Corporate Financing will be a key member of the Corporate Financing and Advertising Regulation team within the Offices of the Chief Legal Officer (OCLO) at FINRA, a leading securities industry regulator. This position requires a minimum of 10 years of experience in the securities...