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Metropolitan Water District of Southern California
Los Angeles, California
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Details
Posted: 06-Sep-22
Location: New York, New York
Type: Full Time
Preferred Education: Doctorate
Preferred Education:
Doctorate
Internal Number: 3221504
DESCRIPTION
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.
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.
QUALIFICATIONS
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
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.
If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.
More Jobs from This Employer
https://careers.imla.org/jobs/17389463/internal-investigations-attorney
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