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Broker Dealer Attorney Jobs in Texas

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Job info
Company
In-House
Experience
Min 5 yrs required
Location
Houston, TX
Posted Date
Nov 14, 18
Info Source
Employer
Total Views
7
a wide variety of broker-dealer and investment advisory issues.... services offered by the broker-dealer and investment advisory businesses.... Assist in the management of the firm’s regulatory inquiries and investigations. Review vendor, product sponsor and client agreements. Review of disclosure documents,... read more
Company
In-House
Experience
5-8 yrs required
Location
Houston, TX
Posted Date
Nov 16, 18
Info Source
Employer
Total Views
116
Support the firm’s affiliated broker-dealer in connection with negotiating... and reviewing selling and other agreements with financial intermediaries and on matters relating to fund marketing. Frequently interact with numerous stakeholders, including investments, compliance, fund administration, the insurance product group, marketing... read more
Company
In-House, TD Ameritrade IP Company, Inc
Experience
3-5 yrs required
Location
Southlake, TX
Posted Date
Nov 05, 18
Info Source
Employer
Total Views
96
of experience. Knowledge of broker dealer regulations, corporate law... and experience handling regulatory investigation is needed. SEC or FINRA experience, or law firm experience advising financial institutions are needed. Military education or experience may be considered in lieu of civilian... read more
Company
In-House
Experience
Min 5 yrs required
Location
Houston, TX
Posted Date
Nov 09, 18
Info Source
Employer
Total Views
140
I The candidate will be responsible for acquisition, development, maintenance and divestiture of company’s position regarding land (mineral, leasehold and surface). Assists with carrying out standard deals, contracts, agreements, tasks and procedures. With supervision, negotiates and writes contracts for exploration... read more
Company
Recruiter, BCG Attorney Search
Experience
2-13 yrs required
Location
Dallas, TX
Posted Date
Oct 03, 18
Info Source
Recruiter
Total Views
10
with 2+ years of experience. The candidate should have experience advising registered investment companies (including open-end and closed-end funds), investment advisers, and broker-dealers. Must preferably have significant... experience in advising clients in connection with the Investment Company Act of 1940.... read more
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