Commodities Compliance Professional Jobs

Company Profile

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.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career — a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Group Overview

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.

Position Description

Commodities Compliance professional covering the North America Commodities Group.

The Responsibilities Of This Individual Include

• Preparing and maintaining hedge exemptions on behalf of the business unit
• Interacting with Commodities traders, business unit management, operations and technology
• Interacting with regulators
• Conducting routine compliance reviews
• Conducting routine presentations to large and small groups on related compliance issues
• Drafting Compliance Notices, and Compliance Manuals as needed
• Assist with various additional compliance projects
• Daily production and review of reports

The position requires extensive time on the trading floor and interaction with Commodities and support personnel.

Qualifications

• 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.
• Strong communications and Excel skills required
• Qualified candidates should have product knowledge and familiarity with rules and regulations relevant to physical and derivative commodity products and should also have strong communications skills.

Expected base pay rates for the role will be between 75,000 and 130,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Posting Date

Apr 17, 2023

Primary Location

Americas-United States of America-New York-New York

Education Level

Bachelor's Degree

Job

Other

Employment Type

Full Time

Job Level

Manager