Canada Wealth Management Supervisor/Portfolio Manager ("CWMSPM") (BB-F92C6)
Found in: Neuvoo Bulk CA
Job Level:Executive Director
The Canada Wealth Management Supervisor/Portfolio Manager 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 Canadian regulatory requirements and MSWC policies and procedures. . This role is a non-revenue sharing position that will report to the Chief Operating Officer of MSWC.
DUTIES and RESPONSIBILITIES:
Surveillance and Supervision
• Responsible for the supervision of retail account activity conducted in managed accounts, robo accounts, and non-managed 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 in order to promote risk awareness and a compliant environment
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
• Monitors and implements procedures to manage all facets of risk
• Facilitates regular and consistent communication of MSWC policies and other regulations
• Liaises with the Chief Compliance Officer regarding customer complaints and litigation
• Together with Senior Management, ensures appropriate supervisory coverage is maintained at all times
• 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
• Responsible for proactive client contact in determining appropriateness, suitability and risk management
• Works closely Senior Management on any Human Resources issues as related to risk and compliance.
• Together with Senior Management, facilitates the training on MSWC compliance policies and procedures.
• Assists in the review and on boarding of Financial Advisor recruits
Education and/or Experience
• Bachelor’s degree required or equivalent education or experience
• Previous industry experience required
• CSC, CPH, 90-day training programme, Canadian Investment Manager Designation or three levels of Chartered Financial Analyst programme and meet the appropriate experience requirements as outlined in IIROC Dealer Member Rule 2900.
• Other licenses as required for role or by management
• Knowledge of IIROC Rules
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to prioritize and resolve complex problems and escalate as necessary
• Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
• Evidence of strong leadership capabilities or previous supervisory experience
• 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
• Strong work ethic
calendar_today1 day ago
work Morgan Stanley