We are currently recruiting for an experienced professional to head-up the Investigations division of a major entity.
This is an important and mission critical role for the organization. The VP of Investigations will manage a large team responsible for conducting investigations into alleged violations of securities rules and regulations. These activities could include market rigging, Ponzi Schemes, money laundering, insider trading, market manipulation and a host of other transgressions.
The VP Investigations will work closely with the Deputy Head of Enforcement and other senior managers. The VP Investigations will advise on high-impact and noteworthy investigations and collaborate with other units such as technology and legal.
The VP Investigations also manages the Director of Forensic Investigations and Litigation Support, and works closely with that Director to support and further develop the use of e-discovery technologies.
Essential skills include the ability to communicate effectively across a widely-dispersed department, to successfully collaborate with senior management in other departments, to lead change across the department, and to oversee the efficient execution of complex and high profile investigations.
Essential Job Functions:
- The VP Investigations is tasked with department-wide responsibility for developing and enhancing investigative capabilities, including the use of e-discovery, data analysis, and forensic accounting.
- The VP Investigations coordinates the staffing of investigators.
- The VP Investigations works closely with the Deputy Head of Enforcement to achieve collaborative and effective investigations, and to effectively provide the department real-time feedback and updates on achievements, emerging issues, new technologies and tools, challenges and “lessons learned.”
- The VP Investigations works closely with Investigative Directors across the entire department to facilitate an ongoing dialogue about investigative techniques and approaches. The VP Investigations oversees the recruitment and professional development of the managers and investigators in the group, and is responsible for the culture and work ethic of the team.
- Finally, the VP Investigations manages the Director of Forensic Investigations and Litigation Support, and works with that team to develop standards and best practices for the use of e-discovery tools and technology.
Specific responsibilities include:
- Managing and developing Enforcement investigative directors and the investigators that report to them.
- Collaborating with senior managers across the company to develop and implement enhanced investigative tools and techniques.
- Overseeing systems training for investigators.
- Enhancing e-discovery expertise and developing an enterprise-wide solution for efficient and cost-effective e-discovery.
- Recruiting and hiring a team of investigators with diverse and complementary skills, and assigning them to matters that leverage their experience and expertise to develop a robust factual record for Enforcement matters.
- Managing and developing the Forensic Investigations and Litigation Support team to facilitate standardized and efficient use of e-discovery tools and procedures.
- Partnering with Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to the EVP of Enforcement and the Enforcement department.
- Overseeing the ongoing development and implementation of department-wide training programs.
- Providing feedback regarding attorneys’ collaborative and investigative skills to their managers.
- Managing specialized teams as needed to achieve a coordinated approach to similar matters or issues.
- Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify novel or high priority matters.
- Meeting with investigative and attorney teams across all Enforcement locations to discuss investigative and analytical techniques.
- Assisting in the assignment and supervision of certain high-priority matters.
- Leading change in the Enforcement program by focusing on effective collaboration between investigative and attorney functions.
Desired Skills and Experience
- Position requires superior academic credentials, and a minimum of 10 years of investigative experience in a regulatory, law enforcement, consulting or compliance role, comprised of:
- A minimum of seven of the years spent working for a regulatory entity, law enforcement organization, forensic accounting or investigative consulting practice, member firm or law firm, with direct involvement in securities enforcement matters.
- A minimum of seven years managing, leading and directing employees in a senior capacity in a team environment.
- Candidate must demonstrate superior investigative and legal skills and be able to prioritize a complex workload, make difficult decisions, and resolve difficult issues regarding the Department. Excellent, interpersonal, organizational, and oral and written communication skills are essential.
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com