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Regulatory Compliance Specialist
2 months ago
Company Overview:
McCann & Braham is a leading global commodity trading firm, recognized for its unwavering dedication to ethical practices, sustainability, and responsible operations.
Position Summary:
We are looking for a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct Project Manager, who oversees various internal initiatives related to compliance advisory, regulatory oversight, and market surveillance. The successful candidate will play a pivotal role in implementing a program designed to mitigate risks associated with market abuse and insider trading while adhering to the standards set 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, ensuring thorough 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 promote effective communication and collaboration.
- Support the evaluation and documentation of internal controls and operational 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, identify potential project risks, and formulate contingency strategies, utilizing appropriate tools to enhance efficiency and accountability within the team.
Qualifications and Experience:
- Bachelor's degree (additional professional qualifications are a plus).
- At least 3 years of experience in project management or change management, ideally with a focus on 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 multitask and prioritize effectively.
- Knowledge of compliance monitoring, risk assessment, audit, or assurance processes.
- Familiarity with international legal and regulatory frameworks, particularly those pertaining to commodities trading, is advantageous.
- Experience in working with independent compliance monitorships is a plus.
- Proficiency in project management software (e.g., Monday, Smartsheet, Jira Work Management) is preferred.
- Willingness to travel as required.
