Executive Director, Senior Wealth Mangement Investigations Attorney
Core
Senior investigations attorney managing internal and regulatory enforcement investigations for Morgan Stanley's Wealth Management business.
Role type
Senior IC investigations attorney (legal/compliance)
Builds
Internal investigation reports, regulatory responses, disciplinary documentation, and risk mitigation strategies.
Domain
Financial services / Wealth Management / Legal & Compliance
Deliverable
client delivery
Required skills
Internal investigations, regulatory enforcement (SEC/FINRA/DOJ), witness interviewing, fact gathering, legal writing, regulatory risk analysis, outside counsel management
Preferred skills
Supervision and mentorship, strategic thinking, creative problem solving
Technologies
Firm case management systems
Responsibilities
Conduct internal investigations into employee misconduct; represent firm and employees in regulatory enforcement matters; manage regulatory filings and disciplinary documentation; analyze and escalate operational risks; provide legal advice to business units; conduct training sessions; supervise outside counsel.
Seniority
Senior, hands-on IC with mentorship responsibilities
