Wealth Management Registered Supervisor

Morgan Stanley•Calgary, AB

73d

About The Position

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.

Requirements

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.
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.

Nice To Haves

Knowledge of French is an asset but not a requirement
Experience in Complex Products such as Alternative Investments, Structured Investments, etc.

Responsibilities

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.
Risk Management/Compliance/Legal 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.