Attorney in Jersey City, NJ

Public Interest

Jersey City, NJ

Attorney in Jersey City, NJ

Non-practicing Attorney

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 and identify fraudulent conduct occurring at, by, or through organization member firms or registered representatives.
- 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 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 with minimal supervision.
- Proficiently utilize internal and external resources.
- Proactively identify notable trends 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, along with demonstrated investigative experience.
- Advanced knowledge of the securities markets and member firm operations, including its books and records.
- Advanced written and verbal communication 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:
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, the salary range varies by location. Actual compensation is based on various factors, including but not limited to, the candidate’s 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 $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 within 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, as well as additional insurance options, retirement plans, tuition reimbursement, commuter benefits, and wellness programs.
- The organization offers a generous time-off program, including paid time off, personal days, sick days, volunteer service days, and various types of leave.
- Employees are subject to the organization’s Code of Conduct, which includes restrictions on investments and requires financial disclosures.
- Employees must execute the Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
- The organization does not accept unsolicited resumes from search firms without a valid written agreement and task order in place.

Equal 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 regulations prohibiting discrimination against qualified individuals with disabilities and qualified protected veterans, and requires affirmative action to employ and advance in employment such individuals.