VP, WM Investigations Attorney

Morgan Stanley • Dallas, TX

3d • Onsite

About The Position

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 ETRADE, 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.

Requirements

• 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

Responsibilities

• 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

Benefits

• Attractive and comprehensive employee benefits and perks in the industry
• Opportunity to move about the business for those who show passion and grit in their work

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Ph.D. or professional degree