Executive Director, Senior Wealth Mangement Investigations Attorney

Position 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.
• 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.
• Coordinate 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.

Qualifications

• 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.