General Counsel Investment Research

General Counsel Investment Research

Job Number : 3253823

3253823

Posting Date

Jun 5, 2024

Primary Location

Americas-United States of America-New York-New YorkEducation Level : Doctorate Degree

OtherEmployment Type : Full TimeJob Level : Vice President

Description

Assist Global General Counsel to Research in providing legal advice to the Global Research Department Specifically, the attorney will focus on providing legal coverage globally to the equity, fixed income and quantitative research business and will be located in Midtown Manhattan.

The attorney will have significant interaction with the business unit and will work closely with the research compliance professionals.

The secondee will be a member of a broader group of advisory attorneys servicing Morgan Stanley's Institutional Securities Group global capital markets, equity sales and trading businesses and may collaborate with attorneys advising Morgan Stanley Wealth Management's business.

• In particular, the position is expected to involve : working closely with individual research analysts; developing and implementing policy and managing compliance with all relevant aspects of regulatory guidelines including the SRO analyst independence rules, Regulation AC, the global research analyst settlement;
• reviewing agreements, including research service agreements, vendor agreements, amongst others; review of new products, strategies and services;
• working with Compliance, Risk and the business units to implement new regulatory initiatives and respond to regulatory inquiries;
• coordinating with Operations and IT personnel and other coverage attorneys to address business enhancement needs and regulatory changes;

and identifying legal and other risks.

Qualifications

Minimum of 4 years relevant experience including US securities laws or regulatory experience. Experience with broker-dealer rules (including for example, rules concerning conflicts, communication with the public and advertising) is helpful.

following skills and qualities :

Professional maturity, confidence, presence and initiative

Excellent judgment and analytical skills

Excellent oral and written communication skills

Strong interpersonal skills

Strong project management skills

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence.

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.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M / F / Disability / Vet).

Expected base pay rates for the role will be between $110,000.00 and $190,000.00 at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.