Wealth Mgmt Risk & Compliance Supervisor – VP

Morgan-Stanley; Toronto; On-site; CAD 150,000 - 190,000; Full time

Benefits offered by this job

Employee benefits

Global career opportunities

Job summary

Morgan Stanley is seeking a Wealth Management Registered Supervisor - Vice President to lead first-tier supervision, ensure strict compliance with CIRO rules, and coordinate risk management across MSWC. The role reports to the Chief Risk Officer and collaborates with Senior Management to maintain a robust control environment.

Ideal candidates will have a Bachelor's degree, CIRO-regulated dealer experience, and relevant licenses, with fluency in English and strong leadership and communication

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• 2 Years Supervisory experience with a CIRO regulated dealer.
• Possess CSC, CPH, 90-day training program and CSI Supervisors Course
• Derivative Fundamental and Option License Course
• Options Supervision Course
• Meet CIRO rules experience as outlined by management.

Responsibilities

• Oversee first-tier supervision of retail accounts, including options trading.
• Provide coaching to Financial Advisors on policies and procedures.
• Ensure proper approvals and risk controls are in place.
• Support audits and remediate findings with management.
• Monitor people risk and escalate as needed.

Skills

CIRO Rules

Leadership

Regulatory Compliance

Communication

Education

Bachelor's degree or equivalent

Job description

Morgan Stanley is seeking a Wealth Management Registered Supervisor - Vice President to lead first-tier supervision, ensure strict compliance with CIRO rules, and coordinate risk management across MSWC. The role reports to the Chief Risk Officer and collaborates with Senior Management to maintain a robust control environment.

Ideal candidates will have a Bachelor's degree, CIRO-regulated dealer experience, and relevant licenses, with fluency in English and strong leadership and communication