Investigations Paralegal — Wealth Management & Regulatory

Morgan Stanley; Dallas (TX); On-site; USD 60,000 - 80,000; Full time

Job summary

Morgan Stanley is seeking a Wealth Management Investigations Paralegal in Dallas to support a team of attorneys with internal investigations and regulatory enforcement matters. The successful candidate will manage document collections, respond to inquiries from regulators, and ensure the timely documentation of all matters.

Ideal applicants will have strong communication and organizational skills, experience with regulatory responses, and a college degree. Join a company committed to inclusion and diversity within the workplace.

Qualifications

• Experience in handling regulatory responses and reporting is preferred.
• Knowledge of broker-dealer rules and securities regulations is preferred.

Responsibilities

• Provide paralegal support for a team of attorneys handling internal investigations.
• Collect and preserve documents and data from internal systems.
• Liaise with internal colleagues, outside counsel, and regulators.
• Prepare and Bates Stamp document productions.
• Draft and issue written responses.
• Update matter management system to document requests and deadlines.
• Overall oversight of regulatory response process from beginning to end.
• Coordinate and submit required regulatory filings.
• Compile and distribute Excel spreadsheets and reports.
• Create and edit PowerPoint presentations.

Skills

Strong oral and written communication skills

Strong organizational skills

Strong interpersonal skills

Ability to exercise sound judgment

Ability to multi-task

Familiarity with Microsoft Outlook, Word, Excel, and PowerPoint

Education

College graduate

Job description

Morgan Stanley is seeking a Wealth Management Investigations Paralegal in Dallas to support a team of attorneys with internal investigations and regulatory enforcement matters. The successful candidate will manage document collections, respond to inquiries from regulators, and ensure the timely documentation of all matters.

Ideal applicants will have strong communication and organizational skills, experience with regulatory responses, and a college degree. Join a company committed to inclusion and diversity within the workplace.