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Regulatory Compliance Specialist
2 months ago
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 expertise 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 surveillance operations. The Compliance Associate will play a vital role in implementing a program designed to reduce the risks associated with market abuse and insider trading while adhering to the standards set by the independent monitor.
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 actions.
- Build and maintain positive relationships with essential stakeholders throughout the organization, including front office, compliance, legal, IT, finance, audit, and other relevant departments, to ensure effective communication and collaboration.
- Support the evaluation and documentation of internal controls and processes.
- Help develop and review governance documents and training materials as necessary.
- Prepare reporting and presentation materials, formulate project plans, identify internal dependencies, proactively recognize project risks, and create contingency strategies, utilizing appropriate tools to enhance efficiency and accountability within the team.
Essential Qualifications and Experience:
- Bachelor's degree (additional professional qualifications are advantageous).
- A minimum of 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 diverse global corporate setting.
- 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.
- 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 in collaboration with an independent compliance monitorship is beneficial.
- Proficiency in project management software (e.g., Monday, Smartsheet, Jira Work Management) is preferred.
- Willingness to travel as required.
