Wealth Management Investigations Paralegal

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

• 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
• Cook up 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’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
• Cook up 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