# Wealth Management Investigations Paralegal at Morgan Stanley

Morgan Stanley is hiring a Wealth Management Investigations Paralegal. Level rates it Little AI ●○○○; you can [apply on Morgan Stanley](https://jobsbylevel.com/go/01cb1476-ab75-4d07-8967-8abc7ccd03b3?utm_medium=ai-agent).

AI Level 1, AI centrality 36 out of 100. Dallas TX 1445.

## Details

- Company: [Morgan Stanley](https://jobsbylevel.com/companies/morgan-stanley)
- AI level: AI Level 1 (score 36 out of 100)
- Location: Dallas TX 1445
- Posted: August 14, 2026
- Apply: https://jobsbylevel.com/go/01cb1476-ab75-4d07-8967-8abc7ccd03b3?utm_medium=ai-agent
- Free CV review for this job: https://jobsbylevel.com/cv-review?job=wealth-management-investigations-paralegal-at-morgan-stanley-b41d97

## Description

Wealth Management Investigations Paralegal (Dallas) Description Company Profile 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 42 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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile 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. As part of the Global Litigation Department, Wealth Management Investigations handles internal investigations and regulatory enforcement matters for the Wealth Management business segment, which includes advisor-led, self-directed (E*TRADE), and workplace channels. Position Responsibilities Morgan Stanley is seeking a paralegal to support a team of attorneys handling a docket of internal investigations and regulatory enforcement matters for its Wealth Management business. Candidates will be responsible for collecting and preserving documents and data in connection with internal investigations involving potential employee misconduct. Candidates will also help manage and respond to external inquiries (regulatory and criminal) related to the Firm’s broker-dealers, investment advisers, banks, digital platforms such as E*TRADE, other entities, and Firm employees. The position requires strong oral and written communications, and strong organizational and interpersonal skills. The position also requires the exercise of sound judgment in handling sensitive matters and the ability to multi-task and to work collaboratively under tight deadlines. Qualifications What You’ll Do: Provide paralegal support for a team of attorneys handling internal investigations involving potential employee misconduct and inquiries from regulators/law enforcement at the state and federal level (SEC, FINRA, DOJ and various state agencies) Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production (such as case files, account documentation, relevant policies and procedures, reports, emails, and memorandum) Liaise with internal colleagues, outside counsel, and regulators to determine scope of requests, documents and information needed, and manage deadlines Prepare and Bates Stamp document productions for submission Draft and issue written responses Update matter management system to document requests, deadlines, extensions, and submissions Overall oversight of regulatory response process from beginning to end, with primary responsibility for ensuring timeliness and completeness of responses, as well as proper documentation of all matters once closed Coordinate and submit required regulatory filings associated with disciplinary events and regulatory enforcement matters Compile and distribute Excel spread sheets and reports regarding investigations and inquiries Create and edit PowerPoint presentations to enable reporting on investigations and inquiries What You

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Source: https://jobsbylevel.com/jobs/wealth-management-investigations-paralegal-at-morgan-stanley-b41d97

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