Manager, Financial Advisers Act (FAA) Investigator
Core
Investigate complaints under the Financial Advisers Act through stakeholder interviews and document reviews to assess misconduct and regulatory compliance.
Role type
Manager, Regulatory Investigator
Builds
Investigation reports, management reporting of breaches, and remedial action plans
Domain
Banking / Financial Regulation
Deliverable
client delivery
Required skills
Regulatory investigation, stakeholder interviewing, document review, data analysis, trend analysis, compliance reporting, remedial action management, liaison with regulators and auditors
Preferred skills
Training facilitation, ad-hoc project management
Technologies
Data analysis tools
Responsibilities
Conduct interviews with relevant stakeholders, review sales documents against regulatory requirements, assess investigation findings regarding investment sales processes, report findings with objective analysis and recommendations, follow up on remedial actions, analyze investigation data and trends, provide management reporting of breaches, assist in staff training, liaise with regulators and auditors
Seniority
Manager, hands-on IC