Barings

Associate Director, Trading Practices Compliance

Charlotte, NC, United States · Director

Sponsorship not specifiedDetected 18 days ago

Data AnalysisProject ManagementExcelFirewallCommunication

About the role

Responsible for the day-to-day surveillance and oversight activities for the Firm's various trading functions.
Position is responsible for the assessment of the Firm's trading risk and identifying breaches to prescribed policies.
Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions.

Draft, maintain, and enhance policies and procedures related to trading practices and regulatory obligations.
Develop and deliver targeted training on trading-related rules, regulations, and internal policies to relevant stakeholders.
Collaborate with IT, front office, and other stakeholders to design and implement solutions that address new and evolving regulatory requirements.

must be very detail oriented.
Must be self-motivated and must possess the skills to successfully interact with and negotiate with internal professionals, including management.
Strong ability to comprehend highly technical regulatory requirements.
Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
Proficiency in Aladdin or another order management system required.
Minimum 4 years of investment adviser or financial service experience with emphasis on trade compliance. Experience across a range of asset classes primarily including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities are required.
Critical thinker with very strong organizational and analytical skills
Demonstrates ongoing commitment to continuous learning and self- improvement.
Aladdin and strong Excel experience also a plus.
Good communicator who has previous daily engagement with investment teams.

Proactively identify patterns or trends through surveillance reviews and escalate findings as appropriate.
Resolve or escalate trading-related compliance issues and provide practical guidance to business units.
Stay current on regulatory developments and enforcement actions affecting trading practices and advise management on significant issues and emerging risks.
Minimum 4 years of investment adviser or financial service experience with emphasis on trade compliance.
Experience across a range of asset classes primarily including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities are required.
Experience with Firewalls, Insider Trading, Market Conduct, and other conflicts of interest polices strongly preferred.
Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook\UCITS, MAR, AIFMD, MIFID II and other applicable regulations.
Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus.

Medical (including Virtual Care), Prescription, Dental, and Vision Coverage
Fitness Center Reimbursement Program (Including Online Memberships)
Fertility Benefits
Health Savings Account (HSA) with Company Contributions
Flexible Spending Accounts (FSA)
Health Care & Dependent Care
Retirement Health Reimbursement Account
Basic and Supplemental Life Insurance
Spouse and Child Life Insurance
Paid Vacation, Sick Days and Annual Holidays
Paid Leave of Absences (Maternity Leave, Parental Leave, Caregiver Leave, Bereavement Time)
Short and Long Term Disability Plans

This listing is sourced directly from Barings's careers page and normalized into a canonical job model.