Commodity Compliance Officer

Morgan Stanley

Houston, TX 77007

Posted 1 month ago

Job Description

*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:*

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.#LI-SS1


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.

FERC Electricity and Natural Gas compliance experience strongly preferred, although all commodities and derivates experience is helpful.#LI-SS1

**Job:** **Compliance*

**Title:** *Commodity Compliance Officer*

**Location:** *Texas-Houston*

**Requisition ID:** *3214306*

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