Job Title: Principal Investigator, Specialist Team
Job Responsibilities:
- Conducts high complexity routine and special investigations of organization member firms, focusing on potentially suspicious activities of individuals associated with these firms.
- Provides guidance to Member Supervision staff on complex assignments, demonstrating expertise in identifying risks and developing regulatory strategies.
- 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 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.
- Utilizes internal and external resources proficiently and identifies notable trends, participating in special projects in areas of specialty.
- Provides training to organization personnel on complex investigations 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 federal securities laws, with demonstrated investigative experience.
- Advanced knowledge of the securities markets, member firm operations, and their books and records.
- Advanced written and verbal communication skills, organizational skills with exceptional attention to detail, and proficiency in using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.
- Advanced ability to initiate and complete high-quality reviews and investigations, including the capacity to work quickly on multiple time-sensitive matters.
Salary Information:
- Compensation is location-based with variations. For example:
- 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
- Actual compensation is based on factors such as the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. The organization provides full pay ranges to consider growth potential.
Additional Benefits:
- Employees may be eligible for a discretionary bonus in addition to base pay, with non-exempt employees also eligible for overtime pay in accordance with federal, state, or local law.
- Comprehensive health, dental, and vision insurance, along with a range of other insurance options.
- Immediate participation and vesting in a 401(k) plan with company match and eligibility for additional organization-funded retirement contribution.
- Tuition reimbursement, commuter benefits, and other wellness-supporting benefits.
- Generous time-off program, including paid time off, personal days, sick days, and volunteer service days.
- Other paid leave includes military leave, jury duty leave, bereavement leave, and more.
Legal and Compliance Information:
- Employees must comply with the organization’s Code of Conduct, which includes restrictions on investments and financial disclosures.
- New employees must comply with investment restrictions and execute the Employee Confidentiality and Invention Assignment Agreement.
- The organization does not accept unsolicited resumes from search firms and requires a valid written agreement and task order for collaboration.
- The organization is committed to equal opportunity employment and abides by regulations prohibiting discrimination against qualified individuals with disabilities and protected veterans.
Overall, this position requires a high level of expertise in conducting complex investigations, an understanding of securities laws, and the ability to work independently with minimal supervision. The organization provides a supportive environment with opportunities for professional growth and a comprehensive benefits package.
