Attorney I

Classification Number: 3501

Starting Wage: $4,166.67 / Month
Opening Date: 5/24/2016
Closing Date: Until Filled

Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 208 E. 10th Street, 5th Floor, Austin, Texas 78701

Number of Openings: 1
Duration: Regular
Hours/Week: 40
FLSA Exempt: Yes
Texas Drivers License: Yes
Travel Required: Yes, up to 25%


Under the supervision of the Deputy Securities Commissioner, the attorney performs complex legal work as part of a team of attorneys focused on enforcement and compliance issues related to registered dealers, agents, investment advisers, and investment adviser representatives. Work includes preparing and negotiating settlements on disciplinary cases with registrants/attorneys; preparing and prosecuting cases before the State Office of Administrative Hearings, including drafting and filing of pleadings, preparation of witnesses, including expert witnesses, taking of depositions, presenting  evidence/witnesses to support allegations of violations of the Texas Securities Act; participating and preparing documentation/pleadings and participating in post-hearing proceedings, including the appeals process.  Cases often involve complex legal issues requiring extensive knowledge of the securities industry; works under general supervision with considerable latitude for the use of initiative and independent judgment. In certain cases, the attorney will conduct investigations of registered dealers, agents, investment advisers, and investment adviser representatives.  Finally, this position will participate in providing legal advice to the Division’s examination staff and management on a regular basis.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from accredited law school with a L.L.B. or J.D. Degree and licensed to practice law in Texas.  


Experience in the practice of administrative, regulatory or securities law or experience at a securities dealer or investment adviser.  Undergraduate degree in finance or accounting and displayed interest in securities industry.

REMARKS (Application procedure, Special requirements):

To be considered for this position, you must submit (1) a completed standard state application, (2) a State Securities Board “Supplement To Application For Employment,” (3) a copy of your law school transcripts, (4) and a writing sample. Applications and supplement may be downloaded from website at Completed applications, along with the supplement, transcripts, and writing sample, should be sent to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167; faxed to 512-305-8327; or emailed to Resumes will not be accepted in lieu of a standard state application.  EOE.

Veterans, Reservist, or Guardsmen with an MOS or additional duties that fall in the fields of 27, 27A, 27B, 250X, Staff Corps, LFL10, 04, Legal, 4402, 4405, 4406, 4407, 4408, 4409, 4410, 44, 51JX, 92J0, 51, RI, or other related fields pertaining to the minimum experience requirements may meet the minimum qualifications for this position. Military Crosswalk information can be found at