Attorney in Woodbridge, NJ

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Public Interest

Woodbridge, NJ

Attorney in Woodbridge, NJ

Non-practicing Attorney

No

Job Title: Principal Investigator, Specialist Team

Job Responsibilities:
The Principal Investigator, Specialist Teams, 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 organization member firms and providing guidance to Member Supervision staff on complex assignments. The position requires proactive surveillance of the industry to identify fraudulent conduct occurring at, by, or through organization member firms or registered representatives. This is an expert-level, professional position that demands an expanded skill set, limited guidance, minimal supervision, and the ability to lead and train others.

Key responsibilities include:
- Demonstrating a highly proficient level of competence in identifying risks, developing regulatory strategies, and executing examination strategies to completion to address those risks.
- Collaborating with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.
- Comprehensively documenting strategies, written requests to representatives and Firms, investigative steps, and investigation results, including referrals to Enforcement and outside agencies.
- Acting as a liaison and subject matter expert for various stakeholders throughout the organization, executing responsibilities with minimal supervision.
- Leading the 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.
- Being proficient in utilizing internal and external resources.
- 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 are required to have a Bachelor’s degree or equivalent relevant experience. An advanced degree or law degree is preferred. The role necessitates advanced knowledge of relevant organization rules and federal securities laws, along with demonstrated investigative experience. Candidates should possess advanced knowledge of the securities markets and member firm operations, including their books and records. The position requires advanced written and verbal communication skills, an advanced ability to initiate and complete high-quality reviews and investigations, and the capacity to work quickly on multiple time-sensitive matters. Advanced organizational skills with exceptional attention to detail and proficiency in using computer programs with the full suite of Office software applications are expected. The candidate should be effective at building and managing relationships.

Salary Information:
The salary range varies based on location and other factors such as the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. The detailed salary range for different locations is 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 so that candidates can consider their growth potential while at the organization.

Benefits:
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. The organization provides comprehensive health, dental, and vision insurance, along with additional insurance options such as basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and more. The organization offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional organization-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness.

Time Off and Paid Leave:
The organization encourages its employees to focus on their health and wellness through a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days, unless otherwise required by law. Additional paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave. Full-time employees receive nine paid holidays.

Important Information:
The organization’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to its role as a securities regulator. Employees must disclose all brokerage accounts and comply with investment restrictions. New employees must comply with these restrictions by the date they begin employment. Employees must execute the organization’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

The organization is not seeking assistance or accepting 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 federal, state, or local laws. The organization complies with regulations prohibiting discrimination against qualified individuals on the basis of disability and qualified protected veterans.

May 02, 2025
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