Investigations Paralegal — Wealth Management & Regulatory
PowerToFly
Morgan Stanley is seeking a Wealth Management Investigations Paralegal in Dallas to support a team of attorneys with internal investigations and regulatory enforcement matters. The successful candidate will manage document collections, respond to inquiries from regulators, and ensure the timely documentation of all matters. Ideal applicants will have strong communication and organizational skills, experience with regulatory responses, and a college degree. Join a company committed to inclusion and diversity within the workplace. #J-18808-Ljbffr PowerToFly
- Morgan Stanley is looking for a Wealth Management Investigations Paralegal in Dallas to support attorneys in internal investigations and regulatory matters. Candidates will collect and preserve documents, manage responses to external inquiries, and ensure full compliance...RegulatoryWork at office
- Wealth Management Investigations Paralegal (Dallas)DescriptionCompany ProfileMorgan Stanley is a leading global financial services firm providing a wide... ...from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to...RegulatoryWorldwide
- WM Investigations Paralegal (Dallas) We are seeking a paralegal to support attorneys handling internal investigations and regulatory enforcement matters for Wealth Management. Position Responsibilities Provide paralegal support for a team of attorneys handling internal...Regulatory
- Morgan Stanley is seeking a WM Investigations Paralegal in Dallas to support a team handling internal investigations and regulatory matters in Wealth Management. The ideal candidate will collect documents, manage deadlines, and communicate with internal teams and regulators...RegulatoryWork at office
- Morgan Stanley seeks a Wealth Management Investigations Attorney to handle internal and regulatory enforcement investigations for its Wealth Management business. You will manage investigations involving potential employee misconduct and compliance matters across various...Regulatory
- Morgan Stanley is looking for a Senior Wealth Management Investigations Attorney in Dallas to oversee internal and regulatory investigations for its Wealth Management business. The ideal candidate will have at least 10 years of experience in conducting investigations,...Regulatory
- Morgan Stanley is seeking a Wealth Management Investigations Attorney (Vice President) in Dallas. This role involves managing internal and regulatory investigations and conducting inquiries for the Wealth Management business segment. Ideal candidates will have 5+ years...Regulatory
- Dormont Manufacturing Co is looking for a Vice President WM Investigations Attorney based in Dallas. This role involves conducting internal investigations, managing regulatory inquiries, and working with various departments and outside counsel. The ideal candidate will...Regulatory
- ...WM Investigations Attorney – Vice President (Dallas) Description Company Profile... ...investment banking, securities, investment management and wealth management services. The Firm's... ...with policies and procedures that meet regulatory requirements around the world. They...RegulatoryFull timeWorldwide
- Morgan Stanley seeks a WM Investigations Paralegal in Dallas to support attorneys with internal investigations and regulatory enforcement. Responsibilities include document management, regulatory filings, and collaborative tasks with internal and external stakeholders....Regulatory
- WM Investigations Attorney - Vice President (Dallas) Morgan Stanley is seeking an investigations attorney to handle a docket of internal and regulatory enforcement investigations and inquiries for its Wealth Management business. This includes internal investigations involving...Regulatory
- ..., securities and investment management services to a substantial and... ...to join the Goldman Sachs Wealth Services team in the Asset and... ...management and financial regulatory requirements. Client Onboarding... ...Strong analytical, investigative, and risk assessment skills...Regulatory
- ...Summary Director of Product Strategy – Wealth, a senior strategic leader within... ..., and business alignment for the Wealth Management and Annuities lines of business. The role... ...understanding of market dynamics, SEC and FINRA regulatory changes, competitive positioning, and...RegulatoryLocal area
- ...Stanley is seeking a Global Financial Crimes (GFC): US Investigations Vice President to lead investigations into financial... ...and fraud. This Vice President level position involves managing compliance with regulatory requirements, producing documentation, and improving operational...Regulatory
$150k - $185k
...Senior Associate, Paralegal (onsite 5 days) Diversified holding company and asset management platform is seeking an experienced and highly accomplished Senior Paralegal... ...will bring deep expertise in contracts, regulatory compliance, corporate governance, and legal operations...RegulatoryContract workWork at office- ...that supports clients in the investment management, banking and capital markets. This... ...seeking an experienced and detail‑oriented Paralegal to provide comprehensive administrative... ...Maintain corporate records to fulfill regulatory documentation requests Support annual shareholder...RegulatoryWork at office
- ...seeking someone to join our team as a Director (AVP) of Investigations in Global Financial Crimes to lead and help establish... ...business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is a Director level position...RegulatoryWork at office
- ...A career with Goldman Sachs Asset & Wealth Management is an opportunity to help clients across the globe realize their potential, while you... ...team on capital calls, cash distributions, and investor and regulatory reporting on fund performance. Support ad hoc requests...Regulatory
$130k - $194k
...in assessing Freddie Mac’s ability to manage risk and compliance with regulations and... ...OFAC. The Compliance Business Lead of Investigation Oversight will be responsible for oversight... ...fraud‑related regulations, reducing regulatory risks. Builds and maintains trusted relationships...RegulatoryFull timeLocal areaFlexible hours- ...Financial Advisor to join a rapidly growing, high-performance wealth management firm supporting clients in the $1M+ range. This role blends... ...strategies, and industry trends while adhering to firm and regulatory standards. Engage in ongoing training, mentorship, and professional...RegulatoryFull timeWork at office
- ...How You Will Fulfill Your Potential Manage all aspects of issue identification, analysis... ...and maps) across asset management, wealth management and consumer businesses Lead... .../or an understanding of regulations and regulatory reform strongly preferred Advanced...Regulatory
- ...in your financial services relationship management career? Vanguard is seeking passionate and... ...to join our growing Advice & Wealth Management division as Relationship Managers... ...your application: This job requires a regulatory license and/or registration (e.g. FINRA,...RegulatoryWork at officeRemote workRelocation packageMonday to Friday
- Morgan Stanley in Dallas is seeking a Vice President for Crypto Investigations in their Global Financial Crimes team. This role involves... ...leading investigations, developing team strategies, and ensuring regulatory compliance in financial crime matters. The ideal candidate...RegulatoryWork at office
- ...financial advice and complex portfolio management guidance to High Net Worth clients. Are... ...financial guidance? Vanguard is seeking Wealth Advisors and Senior Wealth Advisors to... ...This job requires a Series 7, 63 or 66 regulatory license and/or registration (e.g. FINRA,...RegulatoryWork at officeLocal areaRemote workRelocationMonday to Friday
- Asset & Wealth Management Operations - Goldman Sachs Asset Management Operations - Portfolio Control... ...have an impact on client experience, Regulatory requirements, and risk mitigation.... ...records at Admins aligns with GSAM Investigate position differences between GSAM and...RegulatoryFull timeTemporary workWork at office
- ...Chief Executive Officer (CEO), Wealth Management About the Company Confidential wealth management operating company division. Industry... ...change, and have a clear focus on client satisfaction and regulatory compliance. A strategic mindset, the ability to identify and...Regulatory
- ...delivering a comprehensive, tailored wealth management experience. Farther's founders are... ...matters to advisors across your region Investigate, document, and help resolve client... ...the broader Compliance team Support regulatory examinations, internal audits, and ongoing...RegulatoryRemote work
- Stout in Dallas is seeking a Healthcare Compliance Manager to ensure effective compliance programs across various healthcare operations... ...rollout, conducting audits, and ensuring adherence to regulatory standards. The ideal candidate will possess a Bachelor's degree...RegulatoryFlexible hours
- Asset & Wealth Management Divisional Overview A career with Goldman Sachs Asset & Wealth Management is an opportunity to help clients across... ...risks in an increasingly complex macroeconomic and regulatory environment. This role involves collaborating with various...RegulatoryPrivate practiceWork at office
$30 - $32 per hour
...alternative application process. Paralegal Full Time Dallas, Addison,... ...and vendor agreements, regulatory and licensing compliance,... ...and maintain the contract management database and all legal department... ..., and supporting internal investigations. Assist with litigation...RegulatoryHourly payFull timeContract workLocal area
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