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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Attorney
Investigator, NCP Duties: The candidate leads investigations of varying risk and complexity with moderate supervision. Gathers regulatory intelligence using internal and external resources and 8210 record requests. Requests and compiles analyzes, assesses, and evaluates records. Prepares for and participates in On-The-Record interviews with moderate supervision. Conducts and facilitates interviews of relevant parties with moderate supervision. Identifies exceptions, observations, and other findings and proactively escalates potential formal issues to management. Identifies and memorializes the facts and evidence needed to support recommended dispositions, and collaborates with Enforcement to develop cases, as needed. Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.), with moderate supervision. Participates in special projects, as assigned.
Qualification and Experience
Qualifications: The candidate should have a Bachelor’s degree or equivalent relevant experience. Advanced degree or law degree, preferred. Basic knowledge of relevant Firm rules and federal securities laws. Basic knowledge of the securities markets and member firm operations and its books and records. Strong written and verbal communications skills. Ability to initiate and complete high-quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters. Strong organizational skills with exceptional attention to detail. Competence using computer programs with the full suite of Office software applications.
Req.# R-004217
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