Principal Investigator, NCP - IRG
Jersey City, NJ
Principal Investigator, NCP - IRG
The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory issues raised to determine, among other things, whether the organization has jurisdiction. Collect and analyze additional relevant information obtained from internal and external systems to assess the risk to the investing public and the securities markets. Collaborate with other internal and external stakeholders as needed to share relevant information. Make well-reasoned recommendations for the appropriate regulatory response (i.e., referral to NCP for cause exam or to another department for further investigation, referral to the appropriate regulatory agency, or close the matter with no further review).Review triggering event information and clarifies firm filing information by contacting firm personnel in order to determine jurisdiction of individuals, products, accounts, and firms identified in triggering events. Gather background intelligence using external and internal resources (including people and systems) in order to assess risk and regulatory implications and determine appropriate intake disposition. Perform additional outreach, as needed, including requests for additional information from the complaint/tip submitter and/or firm in order to analyze the regulatory intelligence. Conduct interviews with relevant parties (e.g. firms, reps, customers, attorneys) in order to gather facts related to the matter. Assess and analyze information gathered in order to identify if there are potential violations of rules and/or federal securities laws, and if it is appropriate to expand the scope of the review. Identify and elevate apparent trends to manager, to be raised to internal groups (e.g. firm, industry, product trends). Collaborate within NCFC, and with other departments as needed (e.g. Enforcement), to share relevant information. Recommend and draft appropriate assessment dispositions, including closing the matter, issuing cautionary action, promoting to investigation, or referring to internal or external parties. Participate in special projects to address ongoing program enhancements, as assigned. Train and mentor junior staff and new hires. Conduct specialized areas of review (e.g. MSRB, BSA, SEC referrals), as assigned. Bachelor's degree or equivalent relevant experience is required. An advanced degree or law degree is preferred. Advanced knowledge of relevant rules and the federal securities laws and demonstrated investigative experience is needed. Advanced knowledge of the securities markets and member firm operations and its books and records is essential. Advanced proficiency using computer programs with the full suite of Office software applications is a must.
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