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 surveille the industry to identify fraudulent conduct at, by, or through organization member firms or registered representatives.
- Identify risks, develop regulatory strategies, and execute examination strategies to address those risks.
- Collaborate with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys as necessary.
- Document strategies, written requests to representatives and firms, investigative steps, and 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.
- Utilize internal and external resources proficiently.
- Identify notable trends and participate in special projects in 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 securities markets and member firm operations, including books and records.
- Advanced written and verbal communication skills.
- Ability to initiate and complete high-quality reviews and investigations, including handling multiple time-sensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Proficiency in using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.
Salary Information:
- Salary ranges vary based on location and are influenced by factors such as the candidate’s skill set, 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.
Additional Information:
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are eligible for overtime pay in accordance with federal, state, or local law.
- Comprehensive benefits include health, dental, and vision insurance, life and disability insurance, a 401(k) plan with company match, tuition reimbursement, and wellness programs.
- Generous time-off program includes paid time off, personal days, sick days, volunteer service days, and various other leave options.
- The organization’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator.
- Employees must comply with the organization's Employee Confidentiality and Invention Assignment Agreement and nepotism policy.
- The organization is committed to equal employment opportunities and affirmative action for individuals with disabilities and protected veterans.
