Job Posting 5-22

Attorney I

Classification Number: 3502

Starting Wage: $4,166.67/Month
Opening Date: 11/2/2021
Closing Date: Until filled

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


The attorney performs complex legal work in the Registration Division and in the Inspections & Compliance 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 Registration and Inspections & Compliance examination staff and management on a regular basis.

MINIMUM QUALIFICATIONS (License, Education, Experience):

Graduation from accredited law school with a J.D. Degree and licensed to practice law in Texas. Reliable transportation required.


1-2 years experience in the practice of administrative, regulatory or securities law, or prosecutorial experience OR strong course load in securities law from a top law school.

HOW TO APPLY (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  The preferred method to submit completed applications, along with the Supplement, transcripts, and writing sample, is via email at  You may also mail to Human Resources, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or fax to 512-305-8327.  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.

PLEASE NOTEAll applications must be complete, including job title, history, dates of employment, name of employer, supervisor’s name and phone number, and a description of duties performed. Failure to submit this information on your application is considered incomplete and may be rejected. Resumes do not take the place of this required information.

Veterans, Reservist, or Guardsmen with an MOS or additional duties pertaining to the minimum experience requirements may meet the minimum qualifications for this position.