Bring Canadian regulatory leadership to Morgan Stanley as Chief Compliance Officer, covering Wealth Management and Morgan Stanley at Work. CIRO registration is required.

This Executive Director position sits within the International Wealth Management Compliance team. You will help manage regulatory risks and ensure compliance with applicable laws, regulations, rules, and internal procedures. The scope includes CIRO-regulated Wealth Management and the Canada-based Morgan Stanley at Work business. Success requires relevant financial services experience, Wealth Management or Private Banking knowledge, and the ability to work independently within a team.

Key Responsibilities

Ensure compliance with applicable laws, regulations, and rules

Advise business units on regulatory compliance matters





Develop compliance policies and procedures

Conduct compliance policy and procedure training

Supervise Compliance Department personnel

Requirements

Registration as Chief Compliance Officer and Executive with CIRO

Chief Compliance Officer Qualifying Exam or Exam

Partners, Director and Senior Officers Course or equivalent exam

Canadian Securities Course or Canadian Investment Regulatory Exam

Minimum 10 years' relevant industry experience

Combine CIRO registration, Canadian regulatory knowledge, and Wealth Management experience as Morgan Stanley's Canada compliance executive.

📌 Morgan Stanley Canada Compliance Executive (Winnipeg)
🏢 Morgan Stanley
📍 Winnipeg