Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

5-10 yrs required

No

Job Title: Principal Investigator, Specialist Team

Job Responsibilities:
- Conduct high complexity routine and special investigations of organization member firms.
- Investigate potentially suspicious activities of persons associated with organization member firms.
- Provide guidance to Member Supervision staff on complex assignments.
- Proactively surveil the industry to identify fraudulent conduct occurring at, by, or through organization member firms or registered representatives.
- Identify risks, develop regulatory strategies, and execute examination strategies to address those risks.
- Collaborate with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys.
- Document strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies.
- Act as a liaison and subject matter expert for various stakeholders throughout the organization.
- Lead execution of high complexity investigations with limited guidance and minimal supervision.
- Conduct complex risk identification reviews and consultative tasks of high complexity.
- Utilize internal and external resources effectively.
- Identify notable trends and participate in special projects in area of specialty.
- Provide training to organization personnel on complex investigations.
- Conduct and facilitate on-the-record interviews, in collaboration with Enforcement, as needed.

Education and Experience Information:
- Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree preferred.
- Advanced knowledge of relevant organization rules and federal securities laws with demonstrated investigative experience.
- Advanced knowledge of securities markets and member firm operations, including books and records.
- Advanced written and verbal communications skills.
- Advanced ability to initiate and complete high-quality reviews and investigations.
- Advanced organizational skills with exceptional attention to detail.
- Proficiency using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.

Salary Information:
For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State, and NY State, salary ranges 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

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. The organization provides full pay ranges for candidates to consider their growth potential.

Benefits Information:
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are eligible for overtime pay. The organization provides comprehensive health, dental, and vision insurance, life insurance, accidental death and dismemberment insurance, short- and long-term disability, long-term care, business travel accident, disability, and legal insurance. Additional benefits include immediate participation and vesting in a 401(k) plan with company match, eligibility for additional organization-funded retirement contribution, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave:
The organization offers a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year). Employees receive two volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days of employment), and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Important Information:
The organization’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. Employees must disclose all brokerage accounts to the organization and authorize broker-dealers to provide duplicate statements. Employees must comply with investment restrictions and execute the Employee Confidentiality and Invention Assignment Agreement.

The organization does not seek assistance or accept unsolicited resumes from search firms for this employment opportunity. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by law.

The organization abides by regulations prohibiting discrimination against qualified individuals on the basis of disability and qualified protected veterans, requiring affirmative action to employ and advance in employment qualified individuals with disabilities and protected veterans.