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.
The Wealth Management Advisory Legal group provides legal advice and counsel to Morgan Stanley’s Wealth Management business segment. The Wealth Management segment provides comprehensive financial services to clients through a network of over 16,000 representatives and has in excess of $2 Trillion in client assets. Financial advisors are located in branches across the U.S. and provide solutions designed to accommodate the individual investment objectives, risk tolerance and liquidity needs of investors residing in and outside the U.S.
The International Wealth Management Advisory Legal group provides legal advice and counsel to Morgan Stanley’s International Wealth Management (IWM) business. IWM provides comprehensive financial services to non-US clients through a network of International Client Advisors based in the US. The IWM business is part of the broader WM business based in the US The Firm is also expanding into Canada and developing a locally regulated retail wealth management business.
Role:Vice President / Executive Director, commensurate with experience
Attorney will help to advise IWM and functional partners on applicable securities, brokerdealer and investment advisory regulations, including:
Rules of the road for opening and maintaining accounts for clients in various jurisdictions; marketing, offering and selling products to non-US clients; negotiating agreements and advising the business on foreign finders and other third party intermediaries; negotiating and drafting provisions in distribution agreements and other agreements with issuers, fund managers, etc., regarding non-US selling activities; and advising on strategic initiatives of the Firm, including the WM Canada business.
Attorney will also have certain non IWM coverage responsibilities, including:
Drafting and negotiating client-facing agreements, advising on the investigation of senior financial exploitation and diminished capacity issues, reviewing and advising on instances of potential employee misconduct, and assisting functional partners in the drafting and development of Firm policies and procedures and handling special projects, as needed
The candidate must possess a JD with at least 5-7 years of experience with a law firm and/or private bank or broker-dealer.
The candidate must be able to collaborate and work effectively on a team and possess excellent verbal and written communication skills as well as strong problem solving skills.
The candidate must have the ability to multi-task in a fast-paced environment and have experience in a multi-disciplinary background. A plus if the candidate has Canadian legal training or expertise.
A plus if the candidate has Spanish or French language capabilities with professional proficiency.
A plus if the candidate has securities industry experience
Internal Number: 3169172
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