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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Criminal Law - Prosecution
Finance - General
Min 10 yrs required
Vice President, Investigative Counsel The candidate will report to the Senior Vice President in charge of the Investigations Group. The function is situated within the company’s Legal Department and works closely with the firm’s Regulatory, Litigation, Early Dispute Resolution, and other groups. Will have a deep understanding of broker-dealer regulations and be responsible for helping the team coordinate investigations. Will also be responsible for reviewing investigative findings which are provided to the appropriate parties and supervising a team of investigators and analysts. Provide advice and counsel to investigators on investigative steps and the group’s investigations. Work cohesively with other partners/stakeholders for the purpose of coordinating with stakeholders on investigations for which there is regulatory review/interest; review and approve non-privileged summaries; and work with the team to identify risk areas, exposure, and gaps. Additional responsibilities include collaborating with partners who interface with regulators, law enforcement officials, and other departments. Will also work with the team to track and provide investigation metrics related to the group. Key responsibilities include: provide counsel to Investigators on investigations and investigative steps; review and prioritize investigations and escalated matters; ensure all investigations are appropriately scoped and completed thoroughly; advise the team on investigations from a broker/dealer regulatory perspective; interface with regulatory on matters involving regulators and related work product; act as a liaison with other departments to engage appropriate internal and external parties and coordinate investigative efforts and the identification and reporting of significant issues as well as coordinate on regulatory matters; identify and recommend proactive steps to identify areas of risk, exposure, and gaps; and provide training to other departments as needed.
Qualification and Experience
The candidate should have a Juris Doctorate degree and be a licensed member of the Bar of any state in good standing with substantial 10+ years of hands-on experience in an Investigations Unit (or equivalent) at a financial services firm, regulatory body, or a law enforcement agency, and experience investigating matters involving fraud, theft, schemes to defraud, etc. Should have a deep understanding of the financial services regulatory framework, the rules, and regulations specific to broker-dealers. Must have excellent oral communication skills, including substantial experience in conducting interviews. Superior writing, analytical skills, strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc. required. Must have the ability to travel as needed.
Job ID: R-013552.
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