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.
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.
Juris Doctor degree and licensed attorney in good standing
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
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