Senior Principal Investigator Specialist Team

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Senior Principal Investigator, Specialist Team
The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments, as well as consultative services to staff. Be an expert in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks. Handles examinations that present complex circumstances and unique regulatory challenges. Collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary. Comprehensively 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. Independently conducts investigations of the highest risk and complexity. Independently conducts risk identification and risk reviews of the highest risk and complexity. Independently conducts consultative tasks of high complexity with minimal direct supervision. Develops and provides staff training in area of specialty. Leads on the record interviews, in collaboration with Enforcement, as needed. Serves as an expert in area of specialty for staff. Proactively identifies notable and emerging trends and with management recommends guidelines as it relates to area(s) of expertise, or the organization's initiatives. A Bachelor's degree or equivalent relevant experience is required. An advanced degree or law degree would be preferred. Must have expert knowledge of the relevant rules and the federal securities laws and demonstrated investigative experience as well as expert knowledge of the securities markets and member firm operations and its books and records. Expert proficiency using computer programs with the full suite of Office software applications is required. Should be highly effective at building and managing relationships. Expert knowledge of internal and external resources is a must.

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