Attorney in Rockville, MD

Public Interest

Rockville, MD

Attorney in Rockville, MD

Non-practicing Attorney

No

Job Title: Principal Investigator, Specialist Team

Job Responsibilities:
The Principal Investigator in the Specialist Team is responsible for conducting high complexity routine and special investigations of organization member firms. This role involves investigating potentially suspicious activities of persons associated with these member firms and providing guidance to the Member Supervision staff on complex assignments. The Principal Investigator is expected to proactively surveil the industry to identify fraudulent conduct occurring at, by, or through organization member firms or registered representatives. This expert-level position requires an expanded skillset, limited guidance, minimal supervision, and the ability to lead and train others.

Essential job functions include:
- Demonstrating a highly proficient level of competence in identifying risks, developing regulatory strategies, and executing examination strategies to completion.
- Collaborating with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys as necessary.
- Documenting strategies, written requests to representatives and firms, investigative steps, and results, including referrals to Enforcement and outside agencies.
- Acting as a liaison and subject matter expert for various stakeholders throughout the organization and executing responsibilities with minimal supervision.
- Leading execution of high complexity investigations with limited guidance and minimal supervision.
- Conducting complex risk identification reviews and consultative tasks of high complexity with minimal supervision.
- Proactively identifying notable trends and participating in special projects in the area of specialty.
- Providing training to organization personnel on complex investigations.
- Conducting and facilitating on-the-record interviews, in collaboration with Enforcement, as needed.

Education and Experience Information:
Candidates for the Principal Investigator position must have a Bachelor’s degree or equivalent relevant experience, with an advanced degree or law degree preferred. The role requires advanced knowledge of relevant organization rules, federal securities laws, and demonstrated investigative experience. Candidates should also have advanced knowledge of the securities markets, member firm operations, and their books and records. Strong written and verbal communication skills, advanced organizational skills with exceptional attention to detail, and proficiency in using computer programs with the full suite of Office software applications are essential. Candidates should also be effective at building and managing relationships.

Salary Information:
The salary range for this position varies by location and is based on several factors, including the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. The salary ranges for various locations are as follows:
- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT: Minimum Salary $95,300, Maximum Salary $171,800
- IL: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200

Actual compensation is based on various factors, and candidates can expect salary offers that range from the minimum to the mid-point of the salary range. The organization provides full pay ranges so candidates can consider their growth potential while at the organization.

Additional Information:
The organization offers a comprehensive benefits package including health, dental, and vision insurance, retirement plans, and various other benefits that support employee wellness. Employees may also be eligible for a discretionary bonus and overtime pay, where applicable. The organization’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. New employees must comply with investment restrictions and execute the organization's Employee Confidentiality and Invention Assignment Agreement without qualification or modification.

The organization is committed to providing equal employment opportunities without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. Compliance with regulations prohibiting discrimination against qualified individuals with disabilities and qualified protected veterans is also ensured.