Associate Investigator Jobs

Senior Principal Investigator, Specialist Team The candidate conducts advanced high complexity routine and special investigations of member firms. Investigates potentially suspicious activities of persons associated with member firms. Provides guidance to ..

Principal Investigator (FINOP), NCP Duties: The candidate will independently leads investigations of varying risk and complexity. Gathers regulatory intelligence using internal systems and 8210 record requests. Requests and compiles, analyzes, assesses, ..

Associate Principal Investigator, VAST Duties: Independently leads investigations of low to medium complexity matters under moderate supervision. Participates in investigations of medium to high and high complexity matters under moderate supervision. ..

Principal Investigator, National Cause Program 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 ..

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 ..