Regulatory Broker Dealer Securities Attorney Jobs in Texas

PSF Attorney III Duties: Provide legal services ... investment-related procurement and contracting (e.g., broker-dealers, futures commission merchants, custodian, securities lending agent, financial services providers, ... on applicable federal and state..

... wide range of legal and regulatory issues arising from the company’s ... retirement services and other agreements, broker dealer and investment advisor operations, transfer ... IRS legal frameworks, distribution..

Legal, PWM Attorney, Vice President Candidate will: Cover ... Responsible for keeping current with legal/regulatory developments, drafting policies and procedures, ... service offerings in compliance with regulatory and business requirements...

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

... business leaders. Providing legal and regulatory advice and counsel to the ... and counsel to the retail broker-dealer with a concentration on investments, ... Representing and counseling insurers and..