ED, Senior Wealth Management Litigation Attorney

Morgan Stanley•San Francisco, CA

10d•$165,000 - $275,000

About The Position

Morgan Stanley is seeking a senior litigation attorney to handle a docket of arbitrations, civil litigations and regulatory enforcement investigations and inquiries for its Wealth Management business. This includes matters related to the Firm's broker-dealers, investment advisers, banks, digital platforms such as ETRADE, and other entities. The position requires strong oral and written advocacy, analytical skills, creativity, and the ability to communicate effectively with clients, colleagues, and regulators. Candidates must be able to manage independently a large volume of diverse matters, including arbitrations before FINRA Dispute Resolution; civil litigations in state and federal court; and regulatory enforcement matters and investigations conducted by the SEC, FINRA, DOJ and state regulators. Experience defending claims in trial and/or arbitration and handling regulatory enforcement matters is essential. This is a hands-on litigation 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 senior 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. What You'll Do:

Requirements

Member of the California Bar
10+ years of litigation experience, preferably including experience at a top-tier law firm, government trial attorney, regulatory enforcement attorney or in-house counsel
Significant experience working on trials, arbitrations, law and motion hearings, other hearing experience and/or mediations
Regulatory investigations/enforcement experience and/or experience conducting internal investigations
Work independently, as most matters are staffed with one lawyer
Skilled and persuasive negotiator
Strong oral and written advocacy skills
Strategic, analytical thinker and creative problem solver
Tenacious and determined
Strong interpersonal skills with an ability to work with clients, colleagues, regulators, and counsel at every level
Detail-oriented and organized with strong time and case management systems
Handle a large volume of diverse matters with minimal support and direction

Responsibilities

Litigate disputes in arbitration and state and federal courts, including responsibilities for strategy, case investigation, legal research, drafting and arguing motions, managing discovery, preparation of witnesses, and preparing and conducting arbitrations
Handle SEC, FINRA, DOJ and state regulatory investigations and enforcement matters, including responsibilities for strategy, case investigation, interviewing and preparing witnesses, and drafting written responses to and interacting with regulators/government attorneys
Represent Morgan Stanley and its current and former employees in FINRA arbitrations, court proceedings, mediations, and regulatory matters
Analyze and evaluate litigation and/or 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 litigation and regulatory investigations
Collaborate cross-functionally with colleagues in Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm
Manage and partner with outside counsel in select litigation matters
Conduct internal and external regulatory reporting

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