VP, Wealth Management Compliance & Risk

158 Morgan Stanley Wealth Management Canada Inc.; Toronto; On-site; CAD 120,000 - 180,000; Full time

Job summary

Morgan Stanley Wealth Management Canada Inc. is seeking a Wealth Management Registered Supervisor - Vice President to oversee first-tier supervision of retail accounts, compliance and risk, reporting to the Chief Risk Officer.

The role requires strong understanding of CIRO rules, excellent communication, and leadership to coach Financial Advisors on policies and risk awareness. This is a senior, non-revenue sharing supervisory position within MSWC.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• 2 Years Supervisory experience with a CIRO regulated dealer.
• Knowledge of CIRO rules and related licensing courses is expected.

Responsibilities

• Surveillance and First-Tier supervision of retail accounts and approvals.
• Coach Financial Advisors on policies, risk awareness and compliance.
• Assist audits and ensure remediation of findings; monitor people risk.

Skills

CIRO Rules knowledge

Communication skills

Leadership

Regulatory risk

Education

Bachelor’s degree or equivalent

Job description

Morgan Stanley Wealth Management Canada Inc. is seeking a Wealth Management Registered Supervisor - Vice President to oversee first-tier supervision of retail accounts, compliance and risk, reporting to the Chief Risk Officer.

The role requires strong understanding of CIRO rules, excellent communication, and leadership to coach Financial Advisors on policies and risk awareness. This is a senior, non-revenue sharing supervisory position within MSWC.