Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Client Litigation has 16 trial lawyers in three states. The San Francisco Unit currently has five lawyers and covers 30
complexes in two regions in the Western U.S.
Morgan Stanley is seeking a litigation attorney to handle a docket of arbitrations, civil litigations and regulatory enforcement investigations and inquiries for its Wealth Management business. The position requires strong oral and written advocacy, analytical skills, creativity and the ability to communicate effectively with clients, colleagues, arbitrators and regulators as a majority of cases are handled in-house. Candidates must be able to personally manage a large volume of diverse matters, including trial work before FINRA Dispute Resolution; regulatory enforcement matters and investigations conducted by the SEC, FINRA and State Regulators; and occasional handling of court matters. Experience defending claims in trial and/or arbitration and handling regulatory enforcement matters is essential. This is a hands-on litigation position. Success in this environment requires the candidate to be self-motivated, independent and resourceful but also to be able to work as part of a team with others in the Firm’s Legal and Compliance Division and employees in other departments. The position includes administrative responsibilities for case management and other internal and external reporting related to matters. Travel is required depending on case assignments and hearing locations subject to current Cover-19 guidance.
Duties and Responsibilities:
Trial work on behalf of the firm and its employees defending customer claims before FINRA and state and federal courts.
Arbitration, dispute resolution and negotiation.
Evaluation and resolution of customer disputes and other litigation matters.
Handling SEC, FINRA and State regulatory investigation and enforcement matters.
Handling court litigation; internal reporting on “lessons learned” from matters handled; and providing information to senior management.
Internal and external regulatory reporting.
Skills and Competencies:
We are seeking an attorney with strong oral and written advocacy skills; who is a strategic thinker and problem solver; who is tenacious and analytical and a skilled and persuasive negotiator; who has strong interpersonal skills with an ability to work with clients and colleagues at every level; and who is detail-oriented and organized with strong time and case management skills. The candidate will need to work collaboratively with other litigation attorneys, paralegals & support staff as well as employees in other parts of the Firm. Candidates must be self-motivated and able to work independently, as most matters are staffed with one lawyer.
Member of California Bar.
4-8 years of litigation experience in a law firm, government role or in-house position.
Candidates must have trial, arbitration and/or extensive hearing experience and be able to handle a large volume of diverse matters with minimal support and direction.