Morgan Stanley Wealth Canada. (CIRO) Registered Supervisor
Morgan Stanley
Date: 10 hours ago
City: Calgary, Alberta
Contract type: Full time
Morgan Stanley is a leading global financial services firm providing a wide range of wealth management, investment banking, securities, and investment management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of core values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Position Summary
The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions. The successful candidate will be accountable for maintaining a controlled environment through the adherence to Morgan Stanley Wealth Management Canada “MSWC” business ethics and practices in addition to all MSWC policies and procedures. This role is a non-revenue sharing position that will report to the Chief Risk Officer of MSWC.
Duties And Responsibilities
The role requires a self-starter with strong communication and problem-solving skills, and the ability to work in a fast-paced and collaborative environment. The candidate will also need to be comfortable working as part of a team with colleagues across a diverse range of functional groups.
Surveillance and Supervision
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of core values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Position Summary
The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions. The successful candidate will be accountable for maintaining a controlled environment through the adherence to Morgan Stanley Wealth Management Canada “MSWC” business ethics and practices in addition to all MSWC policies and procedures. This role is a non-revenue sharing position that will report to the Chief Risk Officer of MSWC.
Duties And Responsibilities
The role requires a self-starter with strong communication and problem-solving skills, and the ability to work in a fast-paced and collaborative environment. The candidate will also need to be comfortable working as part of a team with colleagues across a diverse range of functional groups.
Surveillance and Supervision
- Responsible for the First-Tier supervision of retail accounts , including options conducted in order execution only and full-service accounts.
- Facilitates any supervisory inquiry or process that requires escalation.
- Focuses on business ethics, regulatory and compliance practices.
- Provides coaching and guidance to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment.
- Ensure proper procedures are in place to ensure that approvals are handled appropriately.
- Monitors and implements procedures to manage all facets of risk.
- Facilitates regular and consistent communication of MSWC policies and other regulations.
- Together with Senior Management, ensures appropriate supervisory coverage is always maintained.
- Oversees responsibilities outlined in policy and procedure manuals, as well as new policies to ensure the Firm has procedures in place.
- Supports the preparation for and response to audits and ensures that any audit findings are appropriately responded to and remediated.
- Works with Senior Management to monitor people risk, and ensures appropriate action is taken.
- 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 the appropriate experience requirements as outlined in CIRO rules.
- Other licenses as required for role or by management.
- Knowledge of French is an asset but not a requirement
- In-depth knowledge of CIRO Rules
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to prioritize and resolve complex problems and escalate as necessary.
- Evidence of strong leadership capabilities
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment.
- Ability to interact with Financial Advisors and clients.
- Excellent judgment and the ability to be discreet in all matters.
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential.
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