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 Overview:

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 various internal initiatives within the Market Conduct advisory, regulatory, and surveillance teams. This role is essential in executing a Program designed to reduce the risks associated with market abuse and insider trading while ensuring compliance with the requirements set forth by the independent monitor.

Key Responsibilities:

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

Essential Qualifications and Experience:

  • Bachelor's degree (additional professional qualifications are a plus).
  • A minimum of 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 build effective relationships with both internal and external stakeholders.
  • Strong organizational and project management abilities, with a capacity to multitask and prioritize effectively.
  • 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 working with an independent compliance monitorship is a plus.
  • Proficiency in project management software (e.g., Monday, Smartsheet, Jira Work Management) is preferred.
  • Willingness to travel as required.

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