Find Legal Finra Jobs in Texas

Legal Staff Paralegal in Houston, TX

Law Firm • **Members Only** Houston, TX

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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

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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Attorney in Dallas, TX

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

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Posted On Sep 08, 26

Full-time Experience : Min 12 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a senior strategic partner to internal and external stakeholders, guiding cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization. - Provide leadership to...

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Legal Staff Paralegal in Austin, TX

Law Firm • **Members Only** Austin, TX

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Posted On Sep 06, 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

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

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Attorney in Plano, TX

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

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Posted On Sep 01, 26

Full-time 1 views Experience : 5-10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms...

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Litigation - Commercial Attorney / Litigation - Securities Litigation - Defense Attorney in Addison, TX

Law Firm • **Members Only** Addison, TX

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Posted On Aug 18, 26

Full-time 1 views

Practice Area:

Litigation - Commercial Litigation - Securities Litigation - Defense

Job Tags:

commercial litigation depositions FINRA Litigation securities litigation

matters. - Represent clients in state and federal courts and arbitration forums, including FINRA and AAA. - Draft motions,... briefs, memoranda, and other litigation-related filings. - Participate in hearings, depositions, mediations, arbitrations, and court appearances. - Collaborate with attorneys and legal staff on co...

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Attorney in Dallas, TX

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

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Posted On Aug 20, 26

Full-time Experience : 2-10 yrs required

Job Tags:

abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: - Lead and manage a team of investigators focusing on crypto-related fraud and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract...

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Attorney in Dallas, TX

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

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Posted On Aug 12, 26

Full-time 1 views

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, utilizing independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

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Attorney in Dallas, TX

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

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Posted On Aug 20, 26

Full-time 1 views Experience : 2-10 yrs required

Job Tags:

Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory...

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney / Corporate - M&A Attorney in Dallas, TX

In-House • **Members Only** Dallas, TX

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Posted On Aug 20, 26

Full-time 44 views Experience : 4-8 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General Corporate - M&A

Job Tags:

agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements

with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...

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Employment Law - Litigation Employer Defense Attorney / Employment Law - Management (Compliance & Counseling) Attorney / Employment Law - Wage and Hour - Defense Attorney / Employment Law - General Attorney in Plano, TX

In-House • **Members Only** Plano, TX

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Posted On Sep 07, 26

Full-time 9 views Experience : Min 3 yrs required

Practice Area:

Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - General

Job Tags:

agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour

Title: Assistant General Counsel - Human Resources Law Job Responsibilities: - Manage a docket of employment cases from pre-litigation through hearing/trial in various jurisdictions and forums. - Investigate allegations and oversee outside counsel in employment litigation matters. - Serve as...

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Estate & Tax Planning Attorney / Tax - Private Client Services Attorney / Trusts and Estates - General Attorney in Houston, TX

In-House • **Members Only** Houston, TX

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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

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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Attorney in Dallas, TX

In-House • **Members Only** Dallas, TX

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Posted On Aug 27, 26

Full-time 7 views Experience : 7-18 yrs required

Job Tags:

banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer

Title: Wealth Strategist Job Description: Company is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As one of the largest businesses of its kind in the world, it specializes in goals-based wealth management,...

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Attorney in Fort Worth, TX

In-House • **Members Only** Fort Worth, TX

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Posted On Aug 18, 26

Full-time 50 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - High-level relationship advisor for high net worth and ultra-high net worth clients - Responsible for developing and deepening client relationships through needs-based, high-level client service - Offers the full suite of...

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Attorney in Dallas, TX

In-House • **Members Only** Dallas, TX

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Posted On Aug 18, 26

Full-time 36 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...

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Attorney in Houston, TX

In-House • **Members Only** Houston, TX

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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

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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Attorney in San Antonio, TX

In-House • **Members Only** San Antonio, TX

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Posted On Aug 18, 26

Full-time 2 views Experience : 8-8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth clients. - Develop and deepen client relationships through needs-based, high-level client service and delivery of the full suite of company Wealth solutions. - Acquire...

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Legal Staff Paralegal in Dallas, TX

Law Firm • **Members Only** Dallas, TX

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Posted On Aug 11, 26

Full-time 1 views Experience : 3-5 yrs required

Practice Area:

Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs

Job Tags:

agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software

organize, and manage client documents. - Draft correspondence, engagement agreements, discovery, settlement documents, and other legal documents. - Prepare filings for FINRA arbitration, JAMS, AAA, and... other forums. - Maintain case files in electronic document management systems. - Coordinate electron...

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Litigation - Securities Litigation - Defense Attorney in Dallas, TX

Law Firm • **Members Only** Dallas, TX

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Posted On Aug 07, 26

Full-time 19 views Experience : 3-7 yrs required

Practice Area:

Litigation - Securities Litigation - Defense

Job Tags:

Business Law depositions evidence FINRA Litigation Securities securities litigation

complex matters impacting the financial services landscape. - Handle sophisticated commercial, business, and securities litigation cases. - Represent commercial and securities clients in both state and federal courts, as well as various arbitration forums, including AAA and FINRA. - Draft persuasive, high-level mot......

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Legal Staff Paralegal in Dallas, TX

In-House • **Members Only** Dallas, TX

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Posted On Jul 13, 26

Full-time 2 views

Practice Area:

Administrative Law Government - General

Job Tags:

criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management

inquiries from regulators and law enforcement at the state and federal level, including the SEC, FINRA, DOJ, and various state... agencies. - Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production. This incl...

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Criminal Law - Defense Attorney in Dallas, TX

In-House • **Members Only** Dallas, TX

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Posted On Jul 13, 26

Full-time 2 views Experience : Min 5 yrs required

Practice Area:

Criminal Law - Defense

Job Tags:

FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Vice President, Wealth Management Investigations Attorney Job Responsibilities: - Conduct and coordinate internal investigations involving potential employee misconduct, including serious violations of law or industry rules such as misappropriation, fraud, and insider trading, as well as internal violations of company policies. -...

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Finra Jobs in Texas

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