DESCRIPTION: Morgan Stanley Wealth Management Legal and Compliance Division is seeking to hire an Executive Director or Vice President (commensurate with experience) to provide legal coverage for its Capital Markets business. Specifically, the attorney will focus on private securities transactions and related matters. The position will be based in Purchase, NY.
The lawyer will be part of a team of seven capital markets lawyers reporting to the head of the Capital Markets legal team. The lawyer will have significant interaction with the business unit, and will work closely with the other lawyers on the team. He/She will be a member of a broader group of advisory attorneys covering Morgan Stanley Wealth Management's products and services, and the role will involve coordination with attorneys covering the other businesses. In particular, the position is expected to involve analyzing, reviewing, negotiating, structuring and approving matters relating to the offering and distribution of private securities. In addition, the attorney will advise on various business projects, both independently and in coordination with other team members, as necessary. The attorney will also work closely with Compliance, Risk and the business units.
Working on transactions involving the distribution of co-investments, secondaries and direct private securities offerings
Advising on legal obligations arising in connection with corporate governance, investor relations, and investing activities
Reviewing marketing materials and investor presentations (including track record data)
Reviewing early stage transaction documents (NDAs, term sheets, agreements)
Reviewing and negotiating client account documentation related to capital markets products and services
Review and interpret relevant statutes, rules and regulations applicable to wealth management products and services
Maintaining form agreements as well as working on discrete projects, regulatory inquiries and other matters as appropriate
A minimum of five (5) years relevant experience at a top quality law firm and/or in-house experience, preferably with a financial services firm (including a bank, broker-dealer, investment advisory firm, private equity, real estate or hedge fund).
Experience with capital markets and securities legal work, in particular with private equity or other illiquid asset classes.
Experience with co-investments, direct investments and/or secondary transactions in private securities.
Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws a plus (including Investment Advisers Act of 1940, Securities Act of 1933 (including Regulation D), the Securities Exchange Act of 1934, and the Investment Company Act of 1940).
Experience on broker-dealer/FINRA matters a plus, along with related experience with applicable ERISA and tax issues.
Candidates should have experience in complex transactions and projects and must be able to work independently when needed and also collaborate with cross functional groups
Professional maturity, confidence, presence and initiative
Excellent judgment and analytical skills
Excellent oral and written communication skills
Strong interpersonal skills
Strong management and administrative skills
Team work and ability to multi-task in fast paced environment
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