At a Glance
- Tasks: Lead compliance efforts in Wealth Management and manage regulatory risks.
- Company: Join Morgan Stanley, a global leader in financial services since 1935.
- Benefits: Enjoy competitive salary, comprehensive benefits, and opportunities for growth.
- Other info: Diverse and inclusive workplace with excellent career advancement opportunities.
- Why this job: Make a real impact in a dynamic environment with top industry professionals.
- Qualifications: 10+ years in compliance, strong analytical skills, and team collaboration.
The predicted salary is between 136800 - 167200 $ per year.
We're seeking someone to join our team as a Chief Compliance Officer - Canada in Wealth Management to assist 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. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Executive Director level position within the International Wealth Management Compliance team, with responsibility for compliance coverage of the CIRO-regulated Wealth Management business and the Canada-based Morgan Stanley at Work business.
What You'll Do In The Role:
- 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.
What You'll Bring To The Role:
- 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).
Executive Director, Chief Compliance Officer in Winnipeg employer: Morgan-Stanley
Join Morgan Stanley in Toronto as an Investment Banking Associate and experience a vibrant work culture that prioritizes diversity, innovation, and professional growth. With access to comprehensive training programs and mentorship opportunities, you will thrive in a collaborative environment while working on high-impact M&A and capital financing transactions for both Canadian and international clients. Enjoy the unique advantage of being part of a globally recognized firm that values your contributions and supports your career advancement.
