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  3. Texas
  4. Forney
  5. Investment Company Act
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Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

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United States
Posted On Aug 25, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Defense
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Defense
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Enforcement Director is responsible for managing a team of 5-8 Enforcement attorneys, overseeing the development and resolution of Enforcement cases from inception to completion. The Director ensures that every case outcome is supported by complete, accurate,...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 22, 26
Full-time Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for providing leadership in regulatory risk assessment and strategy development. This role involves several key responsibilities: - Collaborate with Surveillance Operations leadership to conduct continuous qualitative research...

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Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

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Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules,...... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Investment Management Attorney The candidate... provides legal services to the company and its affiliates with... a primary focus on the investment management functions registered investment... companies and registered investment... advisers and their respective... operations. Will primarily focus on legal matters involving the Investment Company Act of 1940... and... the Investment Advisers Act of 1940... and related areas of activity. Provide legal advice related to Investment Company and advisor... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940... Act, and the Advisers Act,... and SEC rules thereunder,... and Financial Industry Regulatory Authority (FINRA) rules. Review communications (g., email, text, social media) of supervised persons of the Adviser. Request and review required reports by access persons of the Funds and the Adviser under the Code of Ethics. Monitor compliance by Adviser personnel wit... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Litigation Counsel, Enforcement - Any FINRA Location **Overview:** The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). This position is located in any FINRA location. **Essential Job Functions:** * Represent FINRA in a first or second chair capacity in... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Extern - Member Regulation - Dallas, TX( Job Number: 001150) Description FALL EXTERN - SALES PRACTICE The Financial Industry Regulatory Authority (**Members Only.** and how read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Director of Information Technology Duties: Provide vision and direct all aspects of information technology applications and infrastructure; to provide vision and leadership to ensure that the company’s information technology keeps pace with evolving market and organizational demands and, likewise, provides service levels commensurate with a rapidly growing and evolving company. Managing staff and consultants... responsible for application development and maintenance of all ha... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

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