Deputy Securities Commissioner - Director V

Classification Number: 1624

Starting Wage: $10,834.00/ Month
Opening Date: 9/25/2017
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

Merit System: No
FLSA Exempt: Yes
Travel Required: 


The Deputy Securities Commissioner assists the Securities Commissioner with oversight of the law enforcement, registration, inspections and administrative functions of the State Securities Board.  Responsibilities of the position include management of agency operations, providing individualized legal assistance to the staff on securities regulation and litigation issues; direct oversight and management of the inspections and compliance and registration components of the agency’s operations; review and approval of recommendations for the registration of securities; oversight of statutory reporting compliance; internal policy and procedure development; coordination with the General Counsel in the preparation of proposed Board Rules; assisting the Commissioner during audits conducted by the internal auditor and state auditor; planning and participation in training conferences and continuing legal education presentations with other regulators and members of the securities industry; assisting in the preparation of legislative appropriations requests and development of testimony, exhibits, and other information submitted to the Governor’s Office, Legislature, Legislative Budget Board, and Sunset Advisory Commission; and performing all duties required by law of the Securities Commissioner when the Commissioner is unable to act for any reason.

Minimum Qualifications (License, Education, Experience):

Minimum Qualifications:  JD degree from an accredited law school.  Comprehensive understanding of the Texas Securities Act and Board Rules.  Experience in securities dealer/investment adviser regulatory compliance and enforcement of the Texas Securities Act.  Experience managing professional and support personnel and supervising the operations of a professional office environment.  Superior writing and communications skills.

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 writing sample, and 4) Official transcript or degree certification issued by and ABA accredited law school.  Applications and supplement may be obtained at 208 E. 10th Street, 5th Floor, Austin, Texas 78701, requested by calling 512-305-8301, or downloaded from website at Completed applications, along with the supplement, 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 Applicants to be interviewed will be contacted. Applications accepted for this position only. EOE.

Veterans, Reservist, or Guardsmen, please refer to the following link for the applicable MOS codes: