Job Posting 2-25
Classification Number: 3502
Starting Wage: $5,791.66/Month
Opening Date: 12/9/2024
Closing Date: Until filled
Agency: STATE SECURITIES BOARD
Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Location Address: Multiple Locations*
Duration: Regular/Full-time
Hours/Week: 40
FLSA Exempt: Yes
Travel Required: Yes, up to 30%
Drivers License Required: Yes
JOB DESCRIPTION:
The attorney performs complex legal work in the Registration Division and in the Inspections & Compliance Division as part of a team of attorneys focused on enforcement and compliance issues related to registered dealers, agents, investment advisers, and investment adviser representatives. Work includes preparing and negotiating settlements on disciplinary cases with registrants/attorneys; preparing and prosecuting cases before the State Office of Administrative Hearings, including drafting and filing of pleadings, preparation of witnesses, including expert witnesses, taking of depositions, presenting evidence/witnesses to support allegations of violations of the Texas Securities Act; participating and preparing documentation/pleadings and participating in post-hearing proceedings, including the appeals process. Cases often involve complex legal issues requiring extensive knowledge of the securities industry; works under general supervision with considerable latitude for the use of initiative and independent judgement. In certain cases, the attorney will conduct investigations of registered dealers, agents, investment advisers, and investment adviser representatives. Finally, this position will participate in providing legal advice to the Registration and Inspection and Compliance examination staff and management on a regular basis.
*The attorney will be supervised from the Austin office and report directly to the Deputy Securities Commissioner, but remote work and other branch office locations in Corpus Christi, Dallas, and Houston are available. Applicants must reside in Texas.
MINIMUM QUALIFICATIONS (License, Education, Experience):
Graduation from accredited law school with a J.D. Degree and licensed to practice law in Texas. Reliable transportation required.
PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:
1-2 years’ experience in the practice of administrative, regulatory or securities law, or prosecutorial experience OR strong course load in securities law from a top law school.
HOW TO APPLY (Application procedure, Special requirements):
To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board “Supplement To Application For Employment”, (3) a copy of your college transcripts, and (4) a writing sample, which can be a memo, research paper, thesis, or any sort of original document that demonstrates your ability to write reports. The topic of your sample is not limited to securities; you may use your judgement as to what kind of sample best showcases your abilities.
Applications and the Supplement form may be downloaded from the Agency website at https://www.ssb.texas.gov. The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at human.resources@ssb.texas.gov. You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327. Resumes will not be accepted in lieu of a standard state application. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only.
PLEASE NOTE: All applications must be complete, including job title, history, salary, dates of employment, name of employer, supervisor’s name and phone number, and a description of duties performed. Failure to submit this information on your application is considered incomplete and may be rejected. Resumes do not take the place of this required information.
Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.
https://hr.sao.texas.gov/Compensation/MilitaryCrosswalk/MOSC_Legal.pdf