Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or review client dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Reporting to the Chief Compliance Officer, the successful candidate will be responsible for assisting the Canada Wealth Management business in managing regulatory risks and protecting the franchise by ensuring compliance with laws, regulations, rules and internal policies and procedures. Wealth Management in Canada has three business lines that will permit residents of Canada to invest in securities through a CIRO Registered Investment Dealer, Morgan Stanley Wealth Management Canada Inc.

The successful applicant will also provide Compliance coverage to the Canadian Stock Plan Administration business, Morgan Stanley at Work.

What You’ll Do In The Role

• Advise the Business Unit on all regulatory compliance matters.
• Intake and initial assessment of regulatory changes
• Work closely with WM Management on new business proposals.
• Develop and maintain policies and procedures to facilitate compliance with laws, regulations and rules.
• Conduct field training on compliance policies and procedures.
• Conduct ongoing compliance 2nd line oversight and testing and provide reporting to senior management.
• Develop and maintain Compliance Reporting Metrics
  
  

What You’ll Bring To The Role

• At least 5 years relevant working experience in the financial services industry in
• Compliance or related fields or at a securities regulator with relevant Wealth
• Management experience
• Knowledge of CIRO and CSA Rules, Regulations and National Instruments
• Knowledge of Order Execution Only regulations and practices
• Experience dealing directly with advisors.
• Experience dealing with CIRO, OBSI and other regulatory agencies
  
  

All our positions are located in Toronto, Ontario. We offer a hybrid work environment, combining remote work and attendance in the office.

Knowledge of French and English is required.

What You Can Expect From Morgan Stanley

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.