Principal Investigator Sales Practice

Profile

Principal Investigator, Sales Practice
The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations with respect to conducting reviews and provides a high-level summary of their investigative findings and suggested next steps. Independently leads investigations of varying risk and complexity. Gathers regulatory intelligence using internal systems and 8210 record requests. Requests, compiles, analyzes, assesses, and evaluates records. Prepares for and participates in On-The-Record interviews. Independently conducts and facilitates interviews of relevant parties. Identifies exceptions, observations, and other findings and proactively escalates potential formal issues to management. Identifies and memorializes the facts and evidence needed to support recommended dispositions, and collaborates with Enforcement to develop cases, as needed. Independently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.). Assists in identifying notable and emerging trends related to Firm Groupings/Sub-Groupings or the organization's initiatives and escalates to management. Trains and mentors junior staff and new hires. Participates in special projects, as assigned. Independently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.). Bachelor's degree or equivalent relevant experience is required. An advanced degree or law degree is preferred. Should have advanced knowledge of relevant rules and federal securities laws and demonstrated investigative experience. Advanced knowledge of the securities markets and member firm operations and its books and records is a must. Should be effective at building and managing relationships.

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