Executive Director, Chief Compliance Officer - Canada
Core
Manage regulatory risks and ensure compliance with laws, regulations, and internal policies for CIRO-regulated Wealth Management and Morgan Stanley at Work businesses in Canada.
Role type
Executive Director, Chief Compliance Officer
Builds
Compliance frameworks, policies, and procedures for the Canadian Wealth Management franchise
Domain
Financial Services / Wealth Management / Regulatory Compliance
Required skills
Regulatory compliance expertise, policy development, staff supervision, training delivery, risk management, stakeholder advisory
Preferred skills
CIRO/FINTRAC experience, OEO regulations knowledge, global firm experience, industry contacts
Technologies
CIRO, FINTRAC, OEO regulations
Responsibilities
Advise Business Units on regulatory compliance matters, develop policies and procedures, conduct compliance training, supervise Compliance Department staff, work with management on new business proposals
Seniority
Executive Director, hands-on IC