Morgan Stanley Canada Compliance Executive

Bring Canadian regulatory leadership to Morgan Stanley as Chief Compliance Officer, covering Wealth Management and Morgan Stanley at Work. CIRO registration is required.This Executive Director position sits within the International Wealth Management Compliance team. You will help manage regulatory risks and ensure compliance with applicable laws, regulations, rules, and internal procedures. The scope includes CIRO-regulated Wealth Management and the Canada-based Morgan Stanley at Work business. Success requires relevant financial services experience, Wealth Management or Private Banking knowledge, and the ability to work independently within a team.Key Responsibilities:
Ensure compliance with applicable laws, regulations, and rulesAdvise business units on regulatory compliance mattersDevelop compliance policies and proceduresConduct compliance policy and procedure trainingSupervise Compliance Department personnelRequirements:
Registration as Chief Compliance Officer and Executive with CIROChief Compliance Officer Qualifying Exam or ExamPartners, Director and Senior Officers Course or equivalent examCanadian Securities Course or Canadian Investment Regulatory ExamMinimum 10 years' relevant industry experienceCombine CIRO registration, Canadian regulatory knowledge, and Wealth Management experience as Morgan Stanley's Canada compliance executive.
#J-18808-Ljbffr