Senior Principal Investigator, Specialist Team

Min 5 yrs required

Full-time

No

Senior Principal Investigator, Specialist Team
The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well as consultative services to staff. Proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through member firms or registered representatives. Independently leads cybersecurity and technology investigations of the highest risk and complexity while identifying cyber and fraud-related risks and threats, developing regulatory strategies, and executing those examination strategies to completion. Comprehensively documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies. Proactively monitors relevant risk areas and raises notable trends, threats, and/or issues applicable to investigations or other core functions including researching and monitoring for updates to rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases. Serves as an expert in cyber-enabled fraud providing guidance for staff. Conducts tasks related to member firm/investor education that may include serving on conference panels and providing training as part of seminars, boot camps, and compliance events. Conducts tasks related to internal staff training that may include, live training events, podcasts, and LMS specific training. Leads and participates in special projects as required including testing and developing new analytics, investigative tools or processes that detect and deter cyber-enabled fraud activity, maintaining and enhancing investigative methods and developing improved approaches for uncovering cyber enabled fraud at member firms. Proactively identifies notable and emerging cybersecurity threats and attacks and with management, recommends appropriate steps member firms should take to manage the associated risks.

Not specified

Comprehensive health, dental, and vision insurance, life insurance, disability insurance, 401(k) plan with company match, retirement contribution, tuition reimbursement, time off and paid leave, volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, paid holidays

Not specified

Advanced Investigation Techniques, Cyber Threat Intelligence, Written and Verbal Communication, Organization, Relationship Building

Bachelor's degree or equivalent experience, advanced degree or law degree preferred

Job Requisition ID: R-007562

Qualification and Experience The candidate should have a Bachelor's degree or equivalent relevant experience. An advanced degree or law degree is preferred. Must have expert knowledge of relevant rules and the federal securities laws and demonstrated investigative experience. Expert knowledge of the securities markets and member firm operations and its books and records is essential. Should have highly advanced written and verbal communications skills. Expert proficiency using computer programs with the full suite of Office software applications is essential. Should be highly effective at building and managing relationships.

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