Director, Disputes and Investigations – Broker Dealer at Alvarez & Marsal Disputes and Investigations, LLC in New York, New York

Job Description:

Description

Director, Disputes and Investigations - Broker Dealer

Alvarez & Marsal is a premier independent global professional services firm specializing in providing turnaround management, restructuring, performance improvement and corporate advisory services. Our talent drives our success, resulting in our growing Disputes and Investigations practice becoming one of the most respected in the industry. From the boardroom to the courtroom, the firm delivers a wide array of solutions to contentious situations by drawing on the deep skills, diverse disciplines and experiences of its professionals. Our investigations practice is Chambers-rated and Who's Who Legal-recognized. We are r ecognized by Global Arbitration Review as one of the leading firms of independent experts for arbitration and considered a top three firm by Who's Who Legal based on the number of experts across the globe. Our clients include major banks, leading law firms, private equity firms and well-known corporations and upper-mid-sized companies.

What will you be doing?

You will be part of a team assisting broker-dealer clients respond to and resolve complex litigation and regulatory investigations and any remediation work that flow from these events. You will conduct incisive investigations, forensic analysis, and provide litigation support for our broker-dealer clients.

You will be helping our clients and their counsel understand and resolve myriad issues involved in securities litigation and regulatory investigations. We are trusted advisors to our clients, and you will build relationships and an in-depth understanding of the client, the industry and the case to surface and address key issues, from the big picture to the smallest details. You will develop and communicate your analysis, findings, and insights to your team. Relying on your initiative and flexibility to deliver results in an agile and collaborative team environment, you will build strong relationships with clients, legal counsel, and expert witnesses. Some of the main responsibilities are:

• Working on high profile and complex matters that may involve federal or state civil or criminal securities laws and regulations and rules issued by self-regulatory organizations such as FINRA.


• Providing team and project management by developing clear workplans and providing direction and guidance to staff


• Working closely with Managing Directors, Senior Directors, and Directors to identify and provide any needed project support


• Providing support on complex accounting and valuation related matters and disputes (example project types include investigations, forensic accounting, damage calculations, solvency analysis, settlement models, post-acquisition disputes, and general litigation support)


• Conducting research, synthesizing information, and developing reports for high profile clients


• Conducting the quality control review of reports and other client deliverables


• Assisting with researching technical and industry specific issues


• Developing and suggesting solutions to complex problems by thinking "outside the box"


• Clearly presenting findings to client Boards/Committees and other interested parties


• Creating a learning environment by providing meaningful coaching and feedback to others, while also facilitating the learning and development and growth opportunities of direct reports


• Creating an inclusive team working environment with trust and respect, seeking different viewpoints that lead to continuous improvement and growth


• Cultivating and maintaining positive, productive, and professional relationships with colleagues and clients


• Proactively communicating efficiently and effectively to all levels of the engagement team


• Balancing multiple client projects and other responsibilities


• Developing client relationships and assisting with business development

At A&M, you will have the opportunity to work with a diverse team of supportive and motivated professionals that love to share their knowledge and depth of industry experience with others. A&M's Disputes and Investigations practice comprises professionals from a wide range of backgrounds, who bring and share their deep expertise in conducting investigations, delivering expert witness reports, and providing forensic technology services. We have an inclusive developmental environment where everyone has the opportunity to learn and grow. Our culture is characterized by openness and entrepreneurial thinking, with a foundation of mutual respect and high-quality standards for our work. We strive to remove bureaucracy in favor of recognizing our team through advancement opportunities and a motivating performance-based reward structure.

How will you grow and be supported?

As a Disputes and Investigations Director, you will have the opportunity to take your career to the next level by gaining invaluable experience across different industries, sectors, and companies on a variety of interesting and critical projects. Building on your critical thinking skills, you will have the opportunity to develop your research and analysis skills in complex, ambiguous situations. Building on your communication skills, you will work to distill your findings into concise, intuitive, and compelling data stories. As part of a team, you will be working closely with our experienced professionals who will provide you with developmental feedback and growth opportunities. You will have the chance to gain exposure to a variety of disputes and investigation projects across an array of clients and over time grow and specialize within the areas that interest you.

We offer competitive benefits and opportunities to support your personal and professional development. Click to learn about our commitment to your well-being. A&M recognizes that our people drive our growth, and you will be provided with the best available training and development resources through formalized and on the job training, as well as networking opportunities with renowned legal and accounting experts. Learn more about why A&M is a great place work.

Qualifications:

• Bachelor's degree in Accounting, Masters in Forensic Accounting


• CPA, CFE

• 8+ years of experience in public audit and/or a forensic and dispute consulting practice


• 5+ years of experience working on projects related to regulatory investigations involving broker-dealers or projects of their financial institution parents.


• Advanced proficiency with Microsoft Excel for purposes of extensive data analysis and valuation modeling


• Proficiency with Microsoft Word and PowerPoint


• Excellent written and oral communication skills


• Effective interpersonal and team management skills


• High level of attention to detail and accuracy


• Ability and willingness to maintain a flexible work schedule in order to meet client needs


• Hybrid - Ability to work in a flexible hybrid work arrangement, part time in physical office and remote


• Flexibility to travel

Demonstrated Management Skills

• Scope and develop project work plans, strategy and budgets, and deliver results


• Execute on and manage multiple streams of work


• Develop/implement solutions to complex problems; ability to "think outside the box"


• Experience in supervising, developing and motivating staff by providing them with leadership, mentoring, performance feedback and career guidance


• Ability to build client relationships, internally and externally, and assist with business development

The salary range is $130,000 - $175,000 annually, dependent on several variables including but not limited to education, experience, skills, and geography. In addition, A&M offers a discretionary bonus program which is based on a number of factors, including individual and firm performance. Please ask your recruiter for details.

Diversity & Inclusion

A&M's entrepreneurial culture celebrates independent thinkers and doers who can positively impact our clients and shape our industry. The collaborative environment and engaging work-guided by A&M's core values of Integrity, Quality, Objectivity, Fun, Personal Reward, and Inclusive Diversity-are the main reasons our people love working at A&M. Inclusive Diversity means we embrace diversity, and we foster inclusiveness, encouraging everyone to bring their whole self to work each day. It runs through how we recruit, develop employees, conduct business, support clients, and partner with vendors. It is the A&M way.

Voluntary Inclusion

It is Alvarez & Marsal's practice to provide and promote equal opportunity in employment, compensation, and other terms and conditions of employment without discrimination because of race, color, sex, sexual orientation, gender identity, family medical history or genetic information, political affiliation, military service, pregnancy, marital status, family status, religion, national origin, age or disability or any other non-merit based factor or any other characteristics in accordance with all applicable laws and regulations.

Unsolicited Resumes from Third-Party Recruiters

Please note that as per A&M policy, we do not accept unsolicited resumes from third-party recruiters unless such recruiters are engaged to provide candidates for a specified opening and in alignment with our Inclusive Diversity values. Any employment agency, person or entity that submits an unsolicited resume does so with the understanding that A&M will have the right to hire that applicant at its discretion without any fee owed to the submitting employment agency, person or entity

Full-time Positions and Part-time Positions Over 30 hours

Regular employees working 30 or more hours per week are also entitled to participate in Alvarez & Marsal Holdings' fringe benefits consisting of healthcare plans, flexible spending and savings accounts, life, AD&D, and disability coverages at rates determined from time to time as well as a 401(k) retirement plan. Provided the eligibility requirements are met, employees will also receive a discretionary contribution to their 401(k) from Alvarez & Marsal. Additionally, employees are eligible for paid time off including vacation, personal days, seventy-two (72) hours of sick time (prorated for part time employees), ten federal holidays, one floating holiday, and parental leave. The amount of vacation and personal days available varies based on tenure and role type. Click here for more information regarding A&M's benefits programs.

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