Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

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.
- Demonstrate a high level of competence in identifying risks, developing regulatory strategies, and executing examination strategies to completion.
- 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 comprehensively.
- 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 with minimal supervision.
- Utilize internal and external resources proficiently.
- Identify notable trends proactively and participate in special projects in the 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 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. The organization provides full pay ranges so that the candidate can consider their growth potential while at the organization.

Additional Information:

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. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability, and legal. 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, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave:

The organization encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, the organization supports communities by providing two volunteer service days (based on a full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state, or local primary and general elections, 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 that are uniquely related to its role as a securities regulator. Employees are required to disclose all brokerage accounts that they maintain, and those in which they control trading or have a financial interest, to the organization. Employees must comply with investment restrictions, including disposing of any security issued by a company on the organization’s Prohibited Company List or obtaining a written waiver. New employees must comply with these restrictions by the date they begin employment with the organization. Employees must execute the organization’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification 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 abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals on the basis of disability and qualified protected veterans, and require affirmative action to employ and advance in employment qualified individuals with disabilities and qualified protected veterans.