Broker Dealer Jobs in West Lake Hills

IV Candidate will be expected to provide legal services in support of all PSF activities and functions including investments, operations, and technology. Assigned work will include legal services for PSF investment transactions, including reviewing, drafting, and negotiating contracts and related documents for investments in public and private markets, both domestic and international. Work will focus on alternative asset investments, such as private equity, real est... 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Note: This job is no longer active.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

- Legal Counsel Candidate will work daily with manager, director and officer level business clients as a trusted counselor and partner, helping find solutions to the business needs and dilemmas and keeping apprised of relevant regulatory requirements and developments. Will be a legal adviser to company's network of physical branches and phone-based representatives, providing counsel and advice to help the business achieve goals while complying with all applicable br... 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Note: This job is no longer active.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

Manager The candidate will lead compliance and regulatory initiatives, including managing and helping hire compliance staff. Actively engage with and act as the point of contact for regulators, auditors, and regulatory partners. Work with legal team to analyze regulations and their applicability to our products and develop creative solutions. Develop and improve record-keeping processes. Plan, facilitate and execute all necessary testing and certification of the b... 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

Managing Director, International and Cross-Border Counsel Duties: The candidate will serve as a member of the leadership team in the Institutional & Retail Legal Group and oversee the cross-border legal work for the firm. Guide US broker-dealer and asset manager business... lines in serving clients in Asia-Pacific, the EU and UK, Latin America, as well as global services business which offers foreign investments. Play a central role for International Services Enterprise. Serve... 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

Investments Legal Counsel The candidate will provide advice on all aspects of new product developments, preparation, filing and management of all regulatory filings, disclosure and other documents required under the federal securities laws. Will coordinate with compliance department to provide legal analysis and advice in connection with the ongoing development of procedures, the resolution of potential compliance issues and the conduct of regulatory examinations... 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

AVP Claim Technical Officer - Professional Lines First Party and Dedicated Professional Liability Claims The candidate will be the technical leader and subject matter expert responsible for driving all aspects of claims technical excellence for the following product lines: first-party Cyber and Fidelity coverages and professional liability coverages encompassing cyber and technology, media professional liability, life agent and broker-dealer professional liability and our... mi... 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

Attorney Level III The candidate will advise and coordinate with firm staff through all phases of procurement, drafting, vendor selection and negotiation of goods and services contracts under the State Comptroller Guidelines, and assist senior counsel in review, preparation, negotiation and delivery of complex investment agreements; Advise staff concerning confidentiality matters under state and federal law, including the Texas Public Information Act and the Texas Open... 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

matters related to the broker-dealer, registered investment adviser and... insurance agency activities of the company; counsel the company on compliance risk and mitigation efforts; assist with reviews and revisions of key manuals such as the broker-dealer representative manual and written... supervisory procedures of the broker-dealer. Assist the company to... respond to regulatory examinations and inquiries; inte... 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

Counsel Litigation & Regulatory The candidate will provide legal guidance and advice on regulatory changes (particularly SEC and FINRA rules) and strategic business objectives impacting brokerage accounts, customer account opening and client lifecycle management issues. Will support Firms international expansion through the development of foreign carrying agreements and negotiations with counterparties. Manage and lead strategy for a diverse range of litigation and... 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

regulatory compliance with a Broker/Dealer, in-house legal department, law... firm, or regulatory agency. Experience with regulatory matters at the Securities and Exchange Commission is preferred. The candidate will review, research, and respond to sophisticated inquiries and examinations from securities regulators.... 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