Enforcement Investigator III

Job Description:
Major Purpose of Job:

The Criminal Prosecution Assistance Examiner was created in response to the numerous requests for assistance received from criminal authorities and the heightened scrutiny NASD Regulation's efforts in this area has received. The purpose of the position is to provide full-time analytical and investigative assistance and support to criminal authorities in securities fraud investigations and litigation.

Essential Job Functions:

Along with the EVP and the Chief Counsel of the Criminal Prosecution Assistance Group, the Examiner serves as a resource for criminal authorities throughout the nation. Provides investigative support by analyzing firm books and records and trading information, reviewing wiretaps and transcripts, conducting interviews, and generally lending his or her knowledge of brokerage accounting and industry practice to criminal investigations and prosecutions. Provides expertise in computer analysis and OTCBB and Nasdaq trading and other internal records. Helps identify the proof, analysis, and prepares demonstrative exhibits required to prove criminal charges. Prepares for and presents trial testimony when requested in complex security fraud trials. Helps in centralizing and ?walling off? criminal assistance efforts by NASD Regulation in the Enforcement Department. Works closely with and provides analytical and computing guidance to CPAG's Chief Counsel.

Education/Experience Requirements:

Bachelor's degree in Finance, Accounting, or related field, or the equivalent. Law Degree and/or five years of directly related experience. Substantial knowledge of rules, regulations, and guidelines governing the securities industry. Competence using a desktop computer with the full suite of office software

Working Conditions:

Work is normally performed in an office environment. Occasional travel and extended hours may be required.

Searchable Keywords: Investigator, Regulations, Securities / gj-mo

Minimum Education Required: Bachelor

Years of Experience Required: More than 5 years

Expected Travel Time: None