Wealth Management Registered Supervisor

Morgan Stanley

Calgary, Canada
First-tier supervision of retail accounts
Adherence to business ethics and practices
Risk management and compliance monitoring
The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a controlled environment through adherence to Morgan Stanley Wealth Management Canada business ethics and practices

Job Summary

  • The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a controlled environment through adherence to Morgan Stanley Wealth Management Canada business ethics and practices.
  • This role requires a self-starter with strong communication and problem-solving skills, and the ability to work in a fast-paced and collaborative environment, providing coaching and guidance to Financial Advisors.
  • Morgan Stanley offers a supportive and inclusive environment where all individuals can maximize their full potential, with ample opportunity to move about the business for those who show passion and grit.

Matching Summary

The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a controlled environment through adherence to Morgan Stanley Wealth Management Canada business ethics and practices.

Skills & Requirements

Must-have

  • First-Tier supervision of retail accounts
  • Adherence to business ethics and practices
  • Risk management and compliance monitoring
  • CIRO regulated dealer experience
  • Supervisory inquiry and escalation

Nice-to-have

  • Strong communication and problem-solving
  • Fast-paced and collaborative environment
  • Coaching and guidance to Financial Advisors
  • Knowledge of French is an asset

Key Requirements

  • 2 Years Supervisory experience
  • CIRO regulated dealer
  • CSC, CPH, 90-day training program
  • CSI Supervisors Course Derivative Fundamental
  • Option License Course
  • Options Supervision Course
  • Bachelor’s degree or equivalent education or experience

Work Rights

Not specified

Tailored Resume

Cover Letter