Vice President, Wealth Management Investigations Attorney

Wealth Management Investigations Attorney – Vice President (Dallas)

Description

Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 42 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

As part of the Global Litigation Department, Wealth Management Investigations handles internal investigations and regulatory enforcement matters for the Wealth Management business segment, which includes advisor-led, self-directed (E*TRADE), and workplace channels.

Position Responsibilities

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 potential employee misconduct and regulatory enforcement matters related to the Firm’s broker-dealers, investment advisers, banks, digital platforms such as E*TRADE, other entities, and Firm employees. Candidates must be able to manage independently a large volume of internal investigations of employee conduct and regulatory enforcement matters conducted by the SEC, FINRA, DOJ and state regulators. Experience conducting internal investigations and handling regulatory enforcement matters is essential. The position requires strong oral and written advocacy, analytical skills, creativity, and the ability to communicate effectively with clients, colleagues, and regulators. This is a hands-on position, but the attorney will also direct and supervise a variety of outside counsel for certain matters. Success in this environment requires the candidate to be self-motivated, independent, and resourceful, as most matters are staffed and handled in-house with one lawyer, but also to work as part of a team. The attorney will interface with front office clients as well as partners in Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm. The position includes administrative responsibilities for case management and other internal and external reporting related to matters.

Qualifications

What You’ll Do:

• Conduct and coordinate internal investigations involving potential employee misconduct, ranging from serious violations of law or industry rules (misappropriation, fraud, insider trading) to internal violations of Firm policies
• Handle and represent Morgan Stanley and its current and former employees in SEC, FINRA, DOJ and state regulatory investigations and enforcement matters
• Manage all aspects of internal and regulatory investigations, including responsibilities for strategy, case investigation, interviewing and preparing witnesses, fact gathering and analysis (including email/telephone/document reviews), making disciplinary recommendations, drafting documentation (including letters of discipline) and written responses to regulators/government agencies, drafting entries/updates in Firm systems, and advising relevant constituents, including senior Firm management
• Coordinate and collaborate with colleagues in other units of the Firm, including Legal, Compliance, Risk, HR, Operations, Technology, Corporate Communications and the business units
• Manage and draft all required regulatory filings associated with disciplinary events and regulatory enforcement matters
• Analyze and evaluate regulatory risks and recommend solutions to manage and minimize those risks
• Provide legal advice on ad hoc matters to internal business clients, Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm
• Analyze and escalate operational risks identified through internal and regulatory investigations
• Conduct training sessions/presentations for financial advisors and other employees regarding legal and policy requirements, industry trends, and lessons learned from investigations
• Manage and partner with outside counsel in select matters, including overseeing budgets and expenses
• Participate in internal Firm committees and task forces where employee conduct matters are discussed
• Occasional domestic travel required

What You Bring:

• Juris Doctor degree and licensed attorney in good standing
• 5+ years of experience conducting internal investigations and/or handling regulatory enforcement matters, preferably including experience at a top-tier law firm, government trial attorney, regulatory enforcement attorney or in-house counsel
• Strong oral and written communication skills
• Excellent judgment and strong interpersonal skills with an ability to work with clients, colleagues, regulators, and counsel at every level
• Strategic, analytical thinker and creative problem solver
• Knowledge of regulatory reporting requirements and rules relevant to corporate internal investigations
• Ability to work independently and manage high-volume case load with minimal support and direction

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

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Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

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