Financial Investigator

This department is responsible for investigating legal complaints received from clients that may involve the firm, financial advisors, branch office administration, or other business units. The team ensures regulatory compliance by analyzing, reporting, and mitigating legal risks.

Team Composition:

• Complaint Investigators
• Senior Complaint Investigators
• Data Analysts
• Complaints Attorneys & Attorney Team Leaders
• Administrative Assistants

Why is this role open?

This position is needed due to increased legal complaint volume during tax season. The department requires additional support to handle this workload efficiently.

Key Responsibilities:

• Investigate and respond to legal complaints, ensuring compliance with regulatory requirements.
• Analyze complaint data to identify trends and mitigate risks.
• Prepare regulatory filings and ensure all reporting obligations are met.
• Assist in handling regulatory inquiries, investigations, arbitrations, litigation, and settlements.
• Conduct due diligence on clients during the account opening process.
• Monitor transactions, employee activities, and communications for compliance.
• Draft and distribute regulatory updates and compliance bulletins.
• Develop and implement a compliance training program.
• Perform tests and audits on the firm’s processes and controls.
• Help defuse investor or client disputes while maintaining a service-first mindset.
• Participate in compliance risk assessments and analyze the firm’s legal environment.

Qualifications & Ideal Candidate Profile:

Required Qualifications:

• Bachelor’s degree (preferably in finance, accounting, or a related field).
• Experience in legal complaint investigations or regulatory compliance.
• Strong analytical and problem-solving skills with the ability to assess risk.
• Exceptional written and verbal communication skills.
• Highly organized, able to manage multiple priorities in a deadline-driven environment.
• Ability to work independently while taking direction effectively.
• Collaborative mindset – teamwork and comradery are highly valued in this role.