VP, Field Advisory Legal at Morgan Stanley

Dallas, Texas, United States -

Full Time

Start Date

Immediate

Expiry Date

22 Jan, 26

Salary

185000.0

Posted On

24 Oct, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Verbal Communication, Written Communication, Problem Solving, Multi-tasking, Legal Advisory, Regulatory Compliance, Policy Development, Negotiation, Drafting, Investigation, Employee Misconduct, Financial Exploitation, Diminished Capacity, Strategic Initiatives, Collaboration, Diversity and Inclusion

Industry

Financial Services

Description

Responsibilities also will include advising on the investigation of senior financial exploitation and diminished capacity issues, reviewing and advising on instances of potential employee misconduct, advising broker/dealer field and Home Office personnel on relevant law and regulatory policy, such as FINRA and SEC rules, as well as on unique transactions and strategic initiatives, assisting Compliance and Operations in the drafting and development of Firm policies and procedures, negotiating and drafting modifications to Firm documents and forms, and handling special projects as needed. -Should possess excellent verbal and written communication skills as well as strong problem-solving skills. - Must have the ability to learn quickly and multi-task in a fast-paced environment and have experience in a multi-disciplinary background. - Must possess a JD with a minimum of 3-5 years relevant experience Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $108,000.00 and $185,000.00 per year at the commencement of employment. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Responsibilities

The VP, Field Advisory Legal will advise on investigations related to senior financial exploitation and diminished capacity issues, as well as instances of potential employee misconduct. The role also involves advising personnel on relevant laws and regulatory policies, assisting in policy development, and handling special projects.