Principal Investigator, Specialist Team
Jericho, NY
Principal Investigator, Specialist Team
The candidate conducts 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. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through member firms or registered representatives. Demonstrates a highly proficient level of competence in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks. 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. Executes those responsibilities with minimal supervision. Leads execution of high complexity investigations with limited guidance and minimal supervision. Conducts complex risk identification reviews. Conducts consultative tasks of high complexity with minimal supervision. Proficient in utilizing internal and external resources. Proactively identifies notable trends and participates in special projects in area of specialty. Provides training to personnel on complex investigations. Conducts and facilitates on the record interviews, in collaboration with Enforcement, as needed.
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