Vice President, Wealth Management Investigations Attorney
Core
Vice President leading internal investigations and regulatory enforcement matters for the Wealth Management business segment, handling employee misconduct, fraud, and regulatory inquiries.
Role type
Senior IC investigations attorney (Vice President)
Builds
Internal investigation reports, regulatory responses, disciplinary documentation, and risk mitigation strategies.
Domain
Financial Services / Wealth Management / Legal Compliance
Deliverable
client delivery
Required skills
Internal investigations, regulatory enforcement (SEC/FINRA/DOJ), witness interviewing, fact gathering, legal strategy, regulatory reporting, outside counsel management
Preferred skills
Top-tier law firm or government trial experience, strategic analytical thinking, high-volume case management
Technologies
Firm case management systems
Responsibilities
Conduct internal investigations into employee misconduct and regulatory violations; Represent the firm in SEC, FINRA, DOJ, and state regulatory enforcement matters; Manage strategy, evidence collection, and witness preparation for investigations; Draft disciplinary letters and regulatory filings; Analyze and escalate operational risks; Provide legal advice to business units and senior management; Coordinate with Compliance, Risk, HR, and Operations; Manage outside counsel and budgets for select matters.
Seniority
Senior, hands-on IC with leadership responsibilities