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E*TRADE from Morgan Stanley · 2 months ago

Wealth Management Advisory Attorney, Vice President

Spring Valley Rd

Full-time

Hybrid

Mid, Senior Level

$108K/yr - $185K/yr

6+ years exp

E*TRADE from Morgan Stanley is seeking a Wealth Management Advisory Attorney, Vice President to join their team. This role involves providing legal support on various issues in the Wealth Management business and advising on regulatory policies and compliance matters.

BankingFinanceFinancial Services

Responsibilities

Be a point of legal contact on a wide variety of legal issues arising in the Wealth Management business for broker/dealer field personnel, including call center personnel, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel

Conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and drafting a variety of client-facing agreements, such as Confidentiality Agreements, Hold Harmless Agreements, and Custody Agreements

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

Qualification

JDSecurities Industry experienceLitigation experienceLegal researchMulti-taskingVerbal communicationWritten communicationProblem-solvingFast-paced environment