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ProfileAssistant Vice President, Investigation The candidate will report to the Senior Vice President (SVP), conducting and coordinating investigations, reporting the group’s activities and productivity metrics to the Senior Vice President and other firm management, identifying risk areas and gaps, and interfacing with regulators, law enforcement officials, and other departments. Assist the Senior Vice President and Vice Presidents in managing a staff of professionals located in the firm’s headquarters in Boston and operational centers in San Diego and metro Charlotte. Conduct, coordinate, and supervise significant internal investigations. Investigations are likely to originate with the following sources: Referrals/tips from the firm’s Whistleblower and Tip Committee; Referrals/tips from or based upon activities of securities regulators and law enforcement agencies; Referrals from the firm’s Advisor Business Conduct (ABC) committee, Governance, Risk and Compliance (GRC) Branch Exams, Surveillance, and Advisor Review staffs, as well as the Human Capital, Internal Audit, and Legal Departments; Referrals from the firm’s financial fraud/AML unit. A college degree is required, a law degree is desirable as is the Certified Fraud Examiner (CFE) designation, or equivalent. Should have substantial (7 years +) hands-on experience in a Special Investigations Unit (or equivalent) at a financial services firm or a law enforcement agency, investigating matters involving fraud, theft, schemes to defraud, etc. Management experience is preferred. Must have excellent oral communication skills, including substantial experience in conducting interviews. Must have solid writing skills.
Job ID R-000433