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Finra Jobs in Houston

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United States
Posted On Sep 07, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal plays a crucial role in supporting attorneys throughout various stages of fund formation and management. Key responsibilities include: - Assisting attorneys with the formation and structuring of private investment funds, such as limited...

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Posted On Aug 27, 26
Full-time 35 views Experience : 7-18 yrs required
Practice Area:
Estate & Tax Planning Tax - Private Client Services Trusts and Estates - General
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer
Practice Area:
Estate & Tax Planning Tax - Private Client Services Trusts and Estates - General
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer

Title: Wealth Strategist Job Responsibilities: - Develop wealth transfer strategies for ultra-high net worth (UHNW) individuals and families with a net worth of $50 million or more. This aims to enhance client relationships and acquire new clients, although this role does not...

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Posted On Aug 18, 26
Full-time 31 views Experience : 8-8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth clients, focusing on developing and deepening client relationships through needs-based, high-level client service. - Deliver the full suite of wealth solutions, leveraging...

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Posted On Jul 27, 26
Full-time 18 views Experience : 3-15 yrs required
Practice Area:
Litigation
Practice Area:
Litigation

OverviewA law firm seeks a Securities Litigation and Regulatory Associate Attorney with 6-10 years of experience to join their team in Houston, TX. This role offers the opportunity to work on high-stakes, complex matters in a supportive and dynamic ...

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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.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
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Paralegal/Compliance Associate The candidate will do maintaining and updating internal policies and procedures reflecting regulatory matters and rule changes. Will assist with organizing and drafting written summaries or presentations regarding regulatory/legal issues. Maintain firm compliance filing system. Assist in drafting and editing contracts and other legal documents. Ad hoc projects and duties as assigned. Make and manage travel arrangements. Offer strong... 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

Securities Paralegal Duties: The candidate will prepare and file Form IDs with the SEC to obtain EDGAR codes. Prepare and file Form Ds with the SEC and the states. File Form As and Ds with the states, either electronically through EFD or by paper. Coordinate preparation of Form 13F. Perform blue sky research re: state exemptions. Prepare and file state registration and/or exemption documents. Prepare first drafts of response letters to state comment letters. Monito... 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

General Counsel - Private Bank (Real Estate and Private Equity) The candidate will provide primary legal support for the Private Equity and Real Estate business within the Private Bank. Will structure and negotiate private equity and real estate investment opportunities (including commingled funds, co-investments, and separately managed accounts) for global client base of high-net worth individuals, trusts, personal investment companies, family offices and charitab... 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 Duties: Serves the primary in-house counsel providing guidance on all legal matters including, complex merger and acquisition transactions, SEC compliance and regulatory risk matters, and corporate governance and policies. Reporting to the Chief Executive Officer, will provide leadership on legal and regulatory issues impacting business operations and strategies. Serving as legal and compliance subject matter expert and counselor on all regulatory issues. Res... 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

Corporate Attorney The candidate will provide guidance on legal matters including complex merger and acquisition transactions as well as SEC compliance and regulatory risk matters. Assist in researching, drafting, negotiating and advising contracts and related transactions. Lead due diligence efforts and assist with post-deal integration. Advice on mergers, acquisitions and general corporate governance matters. Provide guidance on all issues related to SEC and FINRA rules an... 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

Chief Compliance Officer The candidate will develop and support a strong culture of compliance. Lead, manage and deliver an effective compliance function involving the management of all compliance issues for advertising and sales material review, FINRA licensing and registration, wholesale... activity audits, email review and administering and tracking FINRA required continuing education. Establish... strong working relationships with internal and external business partners and cl... 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

General Counsel, Group Retirement The candidate will handle a wide-array of legal issues and regulatory inquiries of Group Retirement’s registered broker-dealer/investment adviser (the “Firm”). Will be working closely with senior business and compliance professionals in addressing both day-to-day legal issues involving the Firm as well as supporting routine exams and for-cause matters with state/federal securities regulators and self-regulatory organizations... 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

General Counsel, Group Retirement The candidate will handle a wide-array of legal issues and regulatory inquiries of Group Retirement’s registered broker-dealer/investment adviser (the “Firm”). This role will require working closely with senior business and compliance professionals in addressing both day-to-day legal issues involving the Firm as well as supporting routine exams and for-cause matters with state/federal securities regulators and self-regulatory organ... 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

Level In-House Counsel The candidate should have 0-3 years PQE. Demonstrable interest in one or more of the following areas is necessary: Commercial real estate; REITs; leasing; property management; property acquisitions; dispositions; securities laws; broker/dealer and SEC/FINRA reporting and registration; IPOs; Blue Sky; capital raising; mergers and acquisitions; lending; human resources; litigation management; collections; construction management; contract drafting... 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 The candidate will Isolate complex legal issues and provide prompt, concise, and commercially-focused legal advice while balancing risks and benefits to the Company. Additional projects as assigned by the General Counsel. Should have demonstrable interest in one or more of the following areas is necessary: Commercial real estate; REITs; leasing; property management; property acquisitions; dispositions; Securities laws; broker/dealer and SEC/FINRA reporting... 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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