Associate Director Investigations, Financial Services - Secretariat Advisors LLC

ABOUT THE FIRM

Secretariat professionals are trusted in the highest-stakes legal, risk, and regulatory matters around the world.

When you join Secretariat, you become part of a rapidly growing elite team of bright minds and passionate problem-solvers. Your skills and expertise will be utilized on day one - working with the world's most renowned law firms, leading corporations, and influential institutions to answer complex questions that shape critical financial, economic, and strategic business decisions.

Our globally integrated teams are united by the ambition, energy, and commitment they bring to every challenge. We inspire and empower an open, collaborative culture that embraces ongoing professional development, recognition, diversity, and - most importantly - you.

Make your impact at Secretariat.

ABOUT Our Financial Services Practice team

As part of our expanding Financial Services Practice team, you will join a select group of the world's foremost experts and advisors. The facts prove it. We are ranked #1 in Global Arbitration Review's prestigious Expert Witness Firm Power Index in 2024, and over 90% of our testifying experts are recognized as leading experts by Who's Who Legal.

The Financial Services Practice specializes in assisting financial institutions meet their dispute resolution goals, serving as expert witnesses and consultants on matters concerning securities industry requirements and best practices.

We offer competitive compensation and benefits, and we support the continuing professional development of our employees.

RESPONSIBILITIES

Seeking experienced Financial Industry professional with securities industry compliance, trading, and or operational experience. A "Generalist" (10+ years preferred) with investment advisory, FINRA, SEC and or other brokerage expertise needed to manage numerous one-time and/or ongoing consulting and litigation projects involving the assessment of compliance with securities industry rules and regulations, and customary industry practice determinations.

• Collaborating with Managing Directors on business development opportunities including, putting together pitch materials for potential new engagements/clients, seeking out new client relationships by attending industry conferences, drafting thought leadership materials, and other business development related activities.
• Keeping up on industry investigative and rulemaking trends that would complement or enhance our client offerings and relationships.
• Being responsive and delivering high quality service and work to clients.
• Utilizing your deep technical strength in the financial services industry, to be a firm resource and sharing that knowledge with junior staff through training and mentoring.
• Managing client engagements from day-to-day, including building and managing a team of qualified staff, conducting client interviews, developing and maintaining a work plan for each engagement/project to ensure deadlines and deliverables are completed in a timely manner, tracking and following up on engagement economics.
• Research and tracking market and industry trends and information
• Reviewing staff work product, including stock market and financial transaction/statements and modeling.
• Assisting with drafting, fact checking, and editing of expert reports, to ensure high quality client deliverables
• Some travel required

QUALIFICATIONS

• Prior broker-dealer or other market participant experience (series, 7, 63, 24...).
• Strong understanding of trading and markets and securities industry rules and regulations.
• Excellent formal writing skills.
• Familiarity with Bloomberg, Thompson trade reports, Lexis Nexis, Law 360, Cap IQ, and other research and or trade reporting systems is a plus.

• 10+ years' experience in securities trading, compliance, audit and/or operational risk areas.
• A self-starter, with a strong work ethic and the ability to both research and generate new approaches to problems.
• Strong communication and business development skills including writing/composition, oral and listening skills.
• Ability to multi-task and work under tight deadlines.
• Superbly well-organized and technology savvy, including Salesforce, Relativity, Microsoft Excel and PowerPoint systems.

• Leadership experience including managing and developing client relationships as well as mentoring and developing staff
• Comfortable speaking with senior management and in front of an audience

Salary $140,000 to $195,000 +Bonus

Secretariat is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.