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About the Role
This Executive Director level position within the International Wealth Management Compliance team is responsible for compliance coverage of the CIRO-regulated Wealth Management business and the Canada-based Morgan Stanley at Work business. The role assists the CIRO regulated Wealth Management business and the Canada-based Morgan Stanley at Work business in managing regulatory risks and protecting the franchise by ensuring compliance with laws, regulations, rules and internal policies and procedures.
Responsibilities
- Advise the Business Units on all regulatory Compliance matters.
- Work closely with WM Management on new business proposals.
- Develop policies and procedures to facilitate compliance with laws, regulations and rules.
- Conduct training on Compliance policies and procedures
- Supervise Compliance Department staff
Requirements
- Minimum 10 years' relevant working experience in the financial services industry in Compliance or related fields or at a securities regulator
- Knowledge of Canadian Anti-Money Laundering Requirements
- Knowledge of Order Execution Only (OEO) regulations and practices
- Experience dealing with CIRO, FINTRAC etc.
- Relevant Wealth Management or Private Banking experience
- Excellent verbal and written English communication skills
- Strong analytical skills, thoughtful and detail-oriented
- Ability to work within a team and act independently
- Fast learner
- Industry contacts and committee participation helpful
- Experience working for a global firm
- Registration as a Chief Compliance Officer and Executive with CIRO will be required
- Chief Compliance Officer Qualifying Exam or Chief Compliance Officer Exam
- Partners, Director & Senior Officers Course or Director and Executive Exam
- Canadian Securities Course or Canadian Investment Regulatory Exam (CIRE)
Experience Level
- Executive Director
Benefits
- Offering some of the most attractive and comprehensive employee benefits and perks in the industry.
About the Company
- Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
- At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
- At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences.
- We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
- There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Equal Opportunity
- Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
- Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.