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 43 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, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
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.
Conduct 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.
Provide support to attorneys and assist with 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.
Assist attorneys with referring matters to law enforcement, regulators, and internal control functions, and respond to requests for information from regulators and law enforcement agencies.
Assist attorneys with training 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.
4+ years industry experience, with background on conducting investigations or reviews
Excellent judgment and interpersonal skills
Knowledge of regulatory reporting requirements and rules relevant to corporate internal investigations
Strong oral and written communication skills
Ability to work independently and manage high-volume case load
About Morgan Stanley
We believe capital can work to benefit all of society We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back.