Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

Min 5 yrs required

No

Job Title: Principal Investigator, Specialist Team - All FINRA Locations

Job Responsibilities:

- Conducts high complexity routine and special investigations of organization member firms.
- Investigates potentially suspicious activities of persons associated with organization member firms.
- Provides guidance to Member Supervision staff on complex assignments.
- Proactively surveils the industry to identify fraudulent conduct occurring at, by, or through organization member firms or registered representatives.
- Demonstrates a highly proficient level of competence in identifying risks, developing regulatory strategies, and executing those examination strategies to completion to address those risks.
- Collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.
- Documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies.
- Acts as a liaison and subject matter expert for various stakeholders throughout the organization, executing responsibilities with minimal supervision.
- Leads execution of high complexity investigations with limited guidance and minimal supervision.
- Conducts complex risk identification reviews and consultative tasks of high complexity with minimal supervision.
- Proficient in utilizing internal and external resources.
- Proactively identifies notable trends and participates in special projects in area of specialty.
- Provides training to organization personnel on complex investigations.
- Conducts and facilitates 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 the federal securities laws with demonstrated investigative experience.
- Advanced knowledge of the securities markets and member firm operations, including 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:

- The salary range varies based on location and other factors such as skill set, level of experience, education, and internal peer compensation comparisons.
- 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 Salary $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200

Additional Information:

- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.
- 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.
- Benefits include comprehensive health, dental and vision insurance, 401(k) plan with company match, tuition reimbursement, commuter benefits, and other wellness programs.
- Time-off program includes 15 days of paid time off, 5 personal days, and 9 sick days, among other types of leave.
- Compliance with organization’s Code of Conduct regarding investment restrictions and financial disclosures is required.
- New employees must execute the Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
- The organization is an equal opportunity employer and abides by regulations prohibiting discrimination against individuals with disabilities and protected veterans.