Commodities Compliance Professional
About The Position
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. The Americas Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities and equities), Investment Banking, Global Capital Markets, Research and Investment Management across the Americas region. The Commodities Sales and Trading Compliance Group (Commodities Compliance) sits within the Fixed Income Division Compliance Team and 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. Commodities Compliance will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
Requirements
- Bachelor's degree required
- 5+ years of experience
- Excel skills are a must
- Possess product knowledge and familiarity with rules and regulations relevant to physical and derivative commodity products
- Strong communications skills
- Willing to expand our search to qualified candidates without specific experience in Compliance provided they have a background with commodity markets, laws and regulations.
Responsibilities
- Assist with Compliance coverage of the North America Commodities business.
- Production and review of reports
- Preparing and maintaining hedge exemptions on behalf of the business unit
- Interacting with regulators
- Interacting with Commodities traders, business unit management, operations and technology
- Drafting Compliance Notices, and Compliance Manuals as needed
- Conducting routine presentations to large and small groups on related compliance issues
- Conducting routine compliance reviews
- Various additional compliance projects
Benefits
- Ample opportunity to move about the business for those who show passion and grit in their work.
- Attractive and comprehensive employee benefits and perks in the industry.
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What This Job Offers
Job Type
Full-time
Career Level
Director
