Wealth Management Investigations Paralegal

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 investigations involving potential employee misconduct and inquiries from regulators/law enforcement at the state and federal level. Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production. Liaise with internal colleagues, outside counsel, and regulators to determine scope of requests, documents and information needed, and manage deadlines. Prepare and Bates stamp document productions for submission. Draft and issue written responses. Update matter management system to document requests, deadlines, extensions, and submissions. Oversee regulatory response processes ensuring timeliness and completeness and proper documentation of all matters once closed. Coordinate and submit required regulatory filings associated with disciplinary events and regulatory enforcement matters. Compile and distribute Excel spreadsheets and reports regarding investigations and inquiries. Create and edit PowerPoint presentations to enable reporting on investigations and inquiries. Qualifications College graduate. Strong oral and written communication skills. Strong organizational skills. Strong interpersonal skills and team-oriented approach. Ability to exercise sound judgment in handling sensitive matters. Ability to multi-task and work independently under tight deadlines. Familiarity with Microsoft Outlook, Word, Excel, and PowerPoint. Experience in handling regulatory responses and reporting is preferred. Knowledge of broker-dealer rules and securities regulations is preferred. What You Can Expect From Morgan Stanley Our employees are supported and empowered with comprehensive benefits and opportunities for growth, including competitive compensation, health and wellbeing benefits, retirement plans, and a culture that values diversity, inclusion, and professional development. Morgan Stanley is an equal opportunity employer committed to building and maintaining a diverse workforce. We hire, develop, and advance individuals based on their skills and talents. #J-18808-Ljbffr Morgan Stanley