Wealth Management Investigations Paralegal

Wealth Management Investigations Paralegal (Dallas)

Description

Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 42 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

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 paralegal to support a team of attorneys handling a docket of internal investigations and regulatory enforcement matters for its Wealth Management business. Candidates will be responsible for collecting and preserving documents and data in connection with internal investigations involving potential employee misconduct. Candidates will also help manage and respond to external inquiries (regulatory and criminal) related to the Firm’s broker-dealers, investment advisers, banks, digital platforms such as E*TRADE, other entities, and Firm employees. The position requires strong oral and written communications, and strong organizational and interpersonal skills. The position also requires the exercise of sound judgment in handling sensitive matters and the ability to multi-task and to work collaboratively under tight deadlines.

Qualifications

What You’ll Do:

• Provide paralegal support for a team of attorneys handling internal investigations involving potential employee misconduct and inquiries from regulators/law enforcement at the state and federal level (SEC, FINRA, DOJ and various state agencies)
• Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production (such as case files, account documentation, relevant policies and procedures, reports, emails, and memorandum)
• Liaise with internal colleagues, outside counsel, and regulators to determine scope of requests, documents and information needed, and manage deadlines
• Prepare and Bates Stamp document productions for submission
• Draft and issue written responses
• Update matter management system to document requests, deadlines, extensions, and submissions
• Overall oversight of regulatory response process from beginning to end, with primary responsibility for ensuring timeliness and completeness of responses, as well as proper documentation of all matters once closed
• Coordinate and submit required regulatory filings associated with disciplinary events and regulatory enforcement matters
• Compile and distribute Excel spread sheets and reports regarding investigations and inquiries
• Create and edit PowerPoint presentations to enable reporting on investigations and inquiries

What You Bring:

• College graduate
• Strong oral and written communication skills
• Strong organizational skills
• Strong interpersonal skills and team-oriented approach
• Ability to exercise sound judgment in handling sensitive matters
• Ability to multi-task and work independently under tight deadlines
• Familiarity with Microsoft Outlook, Word, Excel and PowerPoint
• Experience in handling regulatory responses and reporting is preferred
• Knowledge of broker-dealer rules and securities regulations is preferred

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

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Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

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