Wealth Management Investigations Paralegal

Morgan Stanley•Dallas, TX

About The Position

Morgan Stanley is seeking a paralegal to support attorneys handling internal investigations and regulatory enforcement matters for its Wealth Management business, including advisor-led, self-directed (ETRADE), and workplace channels. The role involves investigating potential employee misconduct and managing responses to regulatory and criminal inquiries involving the Firm’s broker-dealers, investment advisers, banks, digital platforms, other entities, and employees. The paralegal collects and preserves documents and data, coordinates with internal colleagues, outside counsel, and regulators, prepares document productions and written responses, and tracks matters through completion. The role has primary responsibility for timely and complete regulatory responses and proper matter documentation. It also supports regulatory filings and reporting on investigations and inquiries. The position calls for strong communication, organizational, and interpersonal skills, sound judgment with sensitive matters, and the ability to collaborate and manage multiple priorities under tight deadlines.

Requirements

College graduate.
Strong oral and written communication skills.
Strong organizational skills.
Strong interpersonal skills and a team-oriented approach.
Ability to exercise sound judgment in handling sensitive matters.
Ability to multitask and work independently under tight deadlines.
Familiarity with Microsoft Outlook, Word, Excel, and PowerPoint.

Nice To Haves

Experience handling regulatory responses and reporting.
Knowledge of broker-dealer rules and securities regulations.

Responsibilities

Provide paralegal support to attorneys handling internal investigations involving potential employee misconduct and inquiries from regulators and 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 request scope, needed documents and information, and deadlines.
Prepare and Bates Stamp document productions for submission.
Draft and issue written responses.
Update the matter management system with requests, deadlines, extensions, and submissions.
Oversee regulatory responses from beginning to end, ensuring responses are timely and complete and matters are properly documented when closed.
Coordinate and submit required regulatory filings related to disciplinary events and regulatory enforcement matters.
Compile and distribute Excel spreadsheets and reports regarding investigations and inquiries.
Create and edit PowerPoint presentations to report on investigations and inquiries.