Regulatory Compliance Specialist

2 weeks ago

New York, New York, United States McCann & Braham Full time

Company Overview:

McCann & Braham is a leading global commodity trading firm, recognized for its dedication to ethical practices, sustainability, and integrity in business operations.

Position Summary:

We are in search of a Compliance Associate with a strong background in compliance advisory and market regulation. This position will report directly to the Market Conduct Project Manager, who oversees internal initiatives related to compliance advisory, regulatory affairs, and market surveillance. The selected candidate will play a vital role in implementing a program designed to mitigate risks associated with market abuse and insider trading while ensuring compliance with the requirements set forth by independent monitors.

Key Responsibilities:

  • Assist ongoing projects within the Market Conduct Compliance function, collaborating with subject matter experts across advisory, regulatory, and surveillance teams.
  • Contribute to the effective execution of the MIMF Monitor's recommendations, including the documentation and monitoring of remediation actions.
  • Build and maintain positive relationships with key stakeholders across various departments, including front office, compliance, legal, IT, finance, and audit, to ensure effective communication and collaboration.
  • Support the evaluation and documentation of internal controls and compliance processes.
  • Assist in the creation and review of governance documents and training materials as necessary.
  • Prepare reporting and presentation materials, develop project plans, identify project risks, and implement contingency strategies while utilizing appropriate tools to enhance efficiency and accountability within the team.

Essential Qualifications:

  • Bachelor's degree; additional professional qualifications are a plus.
  • At least 3 years of experience in project management or change management, ideally with exposure to market abuse, surveillance, investigations, compliance, or regulatory issues in a global corporate environment.
  • Highly organized, self-driven, and a collaborative team player.
  • Exceptional communication and interpersonal skills to cultivate effective relationships with both internal and external stakeholders.
  • Strong organizational and project management capabilities, with the ability to prioritize and manage multiple tasks.
  • Understanding of compliance monitoring, risk assessment, audit, or assurance processes.
  • Familiarity with international legal and regulatory frameworks, particularly those relevant to commodities trading, is advantageous.
  • Experience with independent compliance monitorships is beneficial.
  • Proficiency in project management software (e.g., Monday, Smartsheet, Jira Work Management) is preferred.
  • Willingness to travel as required.

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