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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
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The Commodities Sales and Trading Compliance Group ("Commodities Compliance") advises on and assists the Firm's North America Commodities Group in establishing, implementing and enforcing sales and trading practices. Commodities Compliance is responsible for reviewing business, compliance and supervisory processes and practices. The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices.
Mid-Level to Senior Commodity Compliance Officer covering the North America Commodities Group. This individual will be responsible for management and oversight of multiple Commodities Compliance functions. Responsibilities include working proactively with the relevant Commodities business and support groups to maintain, enhance and continue development of a robust compliance framework and program. The position requires extensive time on the trading floor and interaction with Commodities and support personnel. Roles and responsibilities include:
Providing regulatory guidance and training.
Drafting, implementing and updating policies and procedures.
Enhancing and further developing the trade surveillance program for detecting possible violations of regulatory rules and Firm policies.
Coordinating responses to regulatory inquiries, examinations and investigations.
Assessing new product initiatives.
Assessing and overseeing the supervisory framework.
Qualified candidates should have extensive product knowledge and familiarity with rules and regulations relevant to physical and derivative commodity products and should also have strong project management and communications skills.
We are willing to expand our search to qualified candidates without specific experience in Compliance provided they have a background with commodity markets, laws and regulations. For example, we would not completely rule out a candidate who has equivalent legal, trading or operations experience with limited compliance experience. 5-10 years of relevant experience.
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