Attorney in Los Angeles, CA

Public Interest

Los Angeles, CA

Attorney in Los Angeles, CA

Non-practicing Attorney

No

Job Title: Principal Investigator, Specialist Team - All **Members Only** Locations

Job Responsibilities:
- Conduct high complexity routine and special investigations of **Members Only** member firms, including investigating potentially suspicious activities of persons associated with these firms.
- Provide guidance to Member Supervision staff on their complex assignments.
- Proactively surveil the industry to identify fraudulent conduct occurring at, by, or through **Members Only** member firms or registered representatives.
- Demonstrate a highly proficient level of competence in identifying risks, developing regulatory strategies, and executing those examination strategies to completion to address those risks.
- Collaborate with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.
- Comprehensively document strategies, written requests to representatives and firms, investigative steps, and investigation results, including referrals to Enforcement and outside agencies.
- Act as a liaison and subject matter expert for various stakeholders throughout **Members Only**.
- Lead execution of high complexity investigations with limited guidance and minimal supervision.
- Conduct complex risk identification reviews.
- Conduct consultative tasks of high complexity with minimal supervision.
- Utilize internal and external resources proficiently.
- Proactively identify notable trends and participate in special projects in the area of specialty.
- Provide training to **Members Only** 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 **Members Only** rules and the federal securities laws with demonstrated investigative experience.
- Advanced knowledge of the securities markets, member firm operations, and its books and records.
- Advanced written and verbal communications skills.
- Advanced ability to initiate and complete high-quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.

Salary Information:
- 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. Organization provides full pay ranges so that the candidate can consider their growth potential while at the organization.

Note: 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. Organization provides comprehensive health, dental, and vision insurance, along with other benefits such as life insurance, disability coverage, a 401(k) plan with company match, tuition reimbursement, and wellness programs.

Additional Information:
- Organization’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator.
- Employees are required to disclose all brokerage accounts and comply with investment restrictions, including disposing of securities on the Prohibited Company List or obtaining a waiver.
- Employees must execute the Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy.
- All qualified applicants will receive consideration for employment without regard to protected classifications.
- Organization abides by federal regulations prohibiting discrimination against individuals with disabilities and protected veterans.