Wealth Management Advisory Attorney, Vice President

Morgan Stanley • New York, NY

1d • $108,000 - $185,000 • Hybrid

About The Position

We’re seeking someone to join our team as a Wealth Management Advisory Attorney, Vice President.
This role is based in Dallas. If a candidate is based in the New York area, we may be able to have you start in New York but you would have to relocate to Dallas after a few months. Following first 6 months of in office employment in good standing, role will require in office attendance at least 3 days/week.
What you’ll do in the role:
Be a point of legal contact on a wide variety of legal issues arising in the Wealth Management business for broker/dealer field personnel, including call center personnel, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel.
Conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and drafting a variety of client-facing agreements, such as Confidentiality Agreements, Hold Harmless Agreements, and Custody Agreements.
Advising on the investigation of senior financial exploitation and diminished capacity issues, reviewing and advising on instances of potential employee misconduct, advising broker/dealer field and Home Office personnel on relevant law and regulatory policy, such as FINRA and SEC rules, as well as on unique transactions and strategic initiatives, assisting Compliance and Operations in the drafting and development of Firm policies and procedures, negotiating and drafting modifications to Firm documents and forms, and handling special projects as needed.

Requirements

• Must possess a JD.
• Excellent verbal and written communication skills as well as strong problem-solving skills.
• Ability to learn quickly and multi-task in a fast-paced environment and have experience in a multi-disciplinary background.
• At least 6 years’ relevant experience would generally be expected to find the skills required for this role.

Nice To Haves

• Prior Securities Industry experience and litigation experience a plus.

Responsibilities

• Be a point of legal contact on a wide variety of legal issues arising in the Wealth Management business for broker/dealer field personnel, including call center personnel, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel.
• Conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and drafting a variety of client-facing agreements, such as Confidentiality Agreements, Hold Harmless Agreements, and Custody Agreements.
• Advising on the investigation of senior financial exploitation and diminished capacity issues, reviewing and advising on instances of potential employee misconduct, advising broker/dealer field and Home Office personnel on relevant law and regulatory policy, such as FINRA and SEC rules, as well as on unique transactions and strategic initiatives, assisting Compliance and Operations in the drafting and development of Firm policies and procedures, negotiating and drafting modifications to Firm documents and forms, and handling special projects as needed.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Ph.D. or professional degree
• Number of Employees: 5,001-10,000 employees