Attorney I

Classification Number: 3502

Starting Wage: $4,166.67/Month
Opening Date: 10/7/2019
Closing Date: Until filled

Agency: STATE SECURITIES BOARD
Mailing Address: P.O. Box 13167, Austin, Texas 78711-3167
Work Location Address: 208 E. 10th Street, Austin, TX 78701

Number of Openings: 1
Duration: Regular/Full-time
Hours/Week: 40

FLSA Exempt: Yes
Travel Required: Yes, up to 30%
Texas Drivers License Required: Yes

JOB DESCRIPTION:

The attorney performs complex legal work in the Inspections & Compliance Division and Registration Division 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 Inspection and Compliance 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. Reliable transportation required.

PREFERRED KNOWLEDGE, SKILLS, AND ABILITIES:

1-2 years experience in the practice of administrative, regulatory or securities law, or prosecutorial experience.

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 college transcripts, and (4) a writing sample.  Applications and the Supplement form may be downloaded from the Agency website at https://www.ssb.texas.gov. 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, emailed to Human Resources at human.resources@ssb.texas.gov, or submitted using the TWC Work in Texas website. If the application is submitted through Work in Texas, the additional documents must be submitted separately. Resumes will not be accepted in lieu of a standard state application. Applicants to be interviewed will be contacted by the Agency. Applications accepted for this position only. EOE.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position. Military Crosswalk information can be found at http://www.hr.sao.texas.gov/Compensation/MilitaryCrosswalk/MOSC_Legal.pdf