Description
Primary ResponsibilitiesConduct and coordinate internal investigations across the Firm's Wealth Management business in matters involving potential employee misconduct, ranging from serious violations of law or industry rules (misappropriation, fraud, insider trading) to internal violations of Firm policies. Supervise and coordinate all aspects of internal investigations, including: witness interviews; fact gathering and analysis (including email/telephone/document reviews); developing strategies; making disciplinary recommendations; drafting documentation (including letters of discipline); drafting entries/updates in Firm systems; preparing responses to regulators; and advising relevant constituents, including senior Firm management on investigation findings.

Coordinate with other units of the Firm, including Legal and Compliance, Risk, HR, Corporate Communications and the business units to conduct and resolve investigations. Coordinate referrals to law enforcement, regulators, and internal control functions, and respond to requests for information from regulators and law enforcement agencies.Conduct training sessions/presentations for financial advisors and other employees regarding legal and policy requirements, industry trends, and lessons learned from investigations.

Prepare for possible testimony in FINRA employment arbitrations. Manage outside counsel, including overseeing budgets and expenses.Maintain regular reports and frequent dialogue with Special Investigations Unit team in order to assess trends and risk areas.

Participate in internal Firm committees and task forces.Occasional domestic travel required.This is a hybrid position, with three in-office days required.

QualificationsJuris Doctor degree and licensed attorney in good standing4+ years industry experience, with background on conducting investigations or reviewsExcellent judgment and interpersonal skillsKnowledge of regulatory reporting requirements and rules relevant to corporate internal investigationsStrong oral and written communication skillsAbility to work independently and manage high-volume case loadMorgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).Expected base pay rates for the role will be between $110,000.00 and $190,000.

00 at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.Job Field: Attorney.