Enforcement Investigator III

NASDENFORCEMENT INVESTIGATOR III, WASHINGTON, DCNASD, the nation's leading private-sector provider of financial regulatory services, is dedicated to bringing integrity to the markets and confidence to investors through effective and efficient regulation, compliance, and technology-based services. We are currently seeking a Enforcement Investigator.Essential Job Functions:The Enforcement Department investigator plans investigations with direct supervision and guidance, including a determination of the books, records and documents requiring examination and the identification of potential witnesses for interrogations.Carries out planned investigations with direct supervision and guidance by way of field examinations, written inquiries, data analysis and the interrogation of witnesses conducted both on and off-the-record.Provides support in NASD disciplinary proceedings, including the preparation of staff hearings exhibits, functioning as a witness and reviewing and analyzing respondent hearing exhibits.Determines and makes a recommendation as to whether the case under investigation has merit.Prepares memos and reports regarding the course, conduct, and results of investigations.Serves as subject matter expert on issues of high complexity.Testifies at hearings and prepares hearings exhibits and materials.Maintains investigation information data files.Requirements:Bachelor's degree preferably in Accounting, Business or Finance. A minimum of six (6) hours of accounting or equivalent experience is a plus.Superior performance as an investigator/examiner or in conducting complex financial and operational audits.Demonstrated communications ability and computer skills.Competence using a computer with the full suite of office software applications including Microsoft Office.In addition to a competitive salary, incentive bonus potential, comprehensive health & welfare benefits, NASD offers immediate participation and vesting in a 401(k) with company match; a company-funded pension plan; tuition reimbursement, and many other benefits.If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative consider a career with NASD.For consideration, please apply online at and click on the ?Job Postings? link referencing position #314.
REQUIREMENTS
See above / gj-hh