Description:

Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

As part of the Global Litigation Department, Wealth Management Investigations handles internal investigations and regulatory enforcement matters for the Wealth Management business segment, which includes advisor-led, self-directed (E*TRADE), and workplace channels.

Position Responsibilities:
Morgan Stanley is seeking a senior 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 E*TRADE, 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 candidate may also supervise and mentor other team members. 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.

Qualifications:
What You'll Do:

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
Supervise and mentor team members
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
Occasional domestic travel required

What you bring:

Juris Doctor degree and licensed attorney in good standing
10+ 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
Supervision experience is preferred