Current jobs related to Compliance Associate - London, Greater London - Barings

  • Compliance Associate Specialist

    2 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos Compliance, we are seeking a talented Compliance Associate Specialist to join our team. As a key member of our growing Compliance Services team, you will play a crucial role in ensuring the accurate preparation and filing of IPT returns for our clients.The ideal candidate will possess excellent attention to detail, strong analytical skills, and the...

  • Senior Compliance Monitoring Associate

    4 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionA career opportunity has arisen for an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection.About the RoleWe are seeking a highly motivated individual to oversee the compliance function within our...

  • Compliance and Regulatory Expert

    2 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job Description:">AJ Fox Compliance is seeking a highly skilled AML Compliance Associate to join their legal team in London. As a key member of the Compliance team, you will be responsible for supporting the team in all their legal and regulatory duties.">Key Responsibilities:">">Perform risk assessments at client onboarding and during updates of CDD...

  • Strategic Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job OverviewAJ FOX COMPLIANCE, a leading International Law Firm, is seeking an experienced Strategic Compliance Officer to join their Risk and Compliance team.The role involves providing expert guidance on regulatory risk and compliance matters, including conflicts and anti-money laundering (AML), to support senior management in managing professional risks...

  • Tax Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos, we offer a unique opportunity for career-minded professionals to achieve success while bringing their best selves to work each day.We operate on the leading edge of digital technology, working to improve lives and communities through our commitment to Solve Tax for Good. Our global company provides a supportive environment where employees can...

  • Regulatory Affairs Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewWe are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.About the RoleThis is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory...

  • Compliance Assurance Associate

    2 weeks ago

    London, Greater London, United Kingdom AXA XL Full time

    ResponsibilitiesThe Compliance Monitoring and Testing Associate will be responsible for leading monitoring review on regulatory topics within a global function. They will manage and undertake compliance monitoring and reporting as specified in the Compliance Monitoring Plan, to help ensure the business maintains compliance with regulatory standards.The...

  • Regulatory Compliance Associate

    2 weeks ago

    London, Greater London, United Kingdom Goldman Sachs Group, Inc. Full time

    What You Will DoAs a Regulatory Compliance Associate at The Goldman Sachs Group, Inc., you will play a key role in ensuring that our business operations align with regulatory requirements and industry standards. Your responsibilities will include:Conducting research on regulatory changes and updates.Developing and implementing compliance training...

  • Financial Services Compliance Associate

    18 hours ago

    London, Greater London, United Kingdom Get-Recruited (UK) Ltd Full time

    Compliance Specialist Opportunity in Financial ServicesWe are seeking a skilled Financial Services Compliance Associate to join our team at Get-Recruited (UK) Ltd.About the RoleThis is an outstanding opportunity for a motivated individual to manage client accounts and schemes from end-to-end, ensuring compliance with regulatory requirements.Key...

  • Compliance Associate

    1 month ago

    London, Greater London, United Kingdom Crédit Agricole CIB Full time

    About the RoleWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Crédit Agricole CIB. As a Compliance Associate, you will play a key role in ensuring the bank's compliance with regulatory requirements and internal policies.Key ResponsibilitiesAdministration of the Senior Managers Regime Certification Regime...

  • Compliance and Risk Management Associate

    2 weeks ago

    London, Greater London, United Kingdom Sayer Vincent Full time

    Compliance and Risk Management AssociateWe are seeking a highly skilled individual to join our team as a Compliance and Risk Management Associate. In this role, you will support our delivery of high-quality service by assisting the technical teams with adherence to Quality, Auditing, and Ethical standards.Your Key ResponsibilitiesSupport the development and...

  • Compliance Governance Associate

    1 month ago

    London, Greater London, United Kingdom Lewis Row Recruitment Full time

    Job Title: Senior Compliance OfficerJob Description:We are seeking a highly skilled Senior Compliance Officer to join our team at Lewis Row Recruitment. The ideal candidate will have a strong understanding of the current European and UK legal AML framework and be able to analyze and use initiative to identify compliance risks.Main Responsibilities:Dealing...

  • Financial Services Compliance Associate

    3 weeks ago

    London, Greater London, United Kingdom The Core Partnership Full time

    Job Title: Financial Services Compliance AssociateWe are seeking a detail-oriented Financial Services Compliance Associate to provide critical support to the secretariat of a leading financial services business in London.Duties:Deliver comprehensive minute-taking and document preparation for Board and Board Committee meetings.Co-ordinate the Group's AGM and...

  • Compliance Associate Expert

    3 weeks ago

    London, Greater London, United Kingdom VIRTUS Data Centres Full time

    About VIRTUS Data CentresWe are a UK-based data centre provider, known for our efficient and flexible facilities. Our goal is to serve humanity by being an active participant in the 4th industrial revolution.Our purpose is to consistently exceed customer expectations through innovative solutions and services. We value individual endeavour and initiative,...

  • Risk Management Solicitor

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    At AJ FOX COMPLIANCE, we seek a highly skilled Risk Management Solicitor to support our risk management professionals in maintaining the firm's legal and regulatory compliance, whilst mitigating emerging risks associated with procurement.Key Responsibilities:Ensure the firm's compliance with relevant laws and regulationsMitigate risks associated with...

  • Senior Commercial Contracts Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    At AJ FOX COMPLIANCE, we are seeking a highly skilled Senior Commercial Contracts Specialist to join our risk management team in London. This is an exciting opportunity for a qualified Solicitor with 5+ years of PQE to leverage their expertise in commercial law and contract negotiation.We estimate the salary range for this role to be around £90,000 -...

  • Compliance Associate

    1 month ago

    London, Greater London, United Kingdom AVOMIND Full time

    About Our ClientOur client is a fast-growing, founder-led company that connects investors and business leaders with the knowledge they need to succeed. With a global presence and a team of 1500+ colleagues, we provide round-the-clock coverage to the world's top investment funds, consultancies, and businesses.The RoleWe are seeking a Research Compliance...

  • Compliance Associate

    2 weeks ago

    London, Greater London, United Kingdom TP ICAP Group Services Ltd Full time

    Core Compliance Role OverviewThe TP ICAP Group Services Ltd is a leading provider of market infrastructure solutions. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data through responsible and innovative solutions.We connect clients to superior liquidity...

  • Risk Lawyer Advisor

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    At AJ FOX COMPLIANCE, we are seeking a seasoned Risk Lawyer Advisor to support our Risk and Compliance team. This role is responsible for managing regulatory, compliance, and professional risks associated with the firm.The ideal candidate is a qualified lawyer with 5+ years of experience working in an international commercial law environment, with a focus on...

Compliance Associate

1 month ago

London, Greater London, United Kingdom Barings Full time

At Barings, we value our associates as much as we value our clients. We recognize and reward those who demonstrate personal and professional integrity, effective communication skills, and distinct competencies in specific strategies. Team members must be able to collaborate effectively and demonstrate a true dedication to client interests.

We appreciate your interest in joining the Barings team and invite you to explore our current employment opportunities.

Job Summary:


  • Responsible for day-to-day surveillance and oversight activities for various trading functions.
  • This position assesses the Firm's trading risk and identifies breaches to prescribed policies.
  • Uses policies, procedures, and manual and automated systems to mitigate risks and comply with regulatory restrictions.
  • This position reports to the Head of Trading Practices Compliance and interacts with members of the firm's Portfolio Management, Trading, Legal, Risk, and Operations teams.

Key Responsibilities:


  • Monitors all elements of trading for investment products related to public equity and fixed income investments, bank loans, private placements, mezzanine funds, derivatives, real estate, and other structured products.
  • Meets surveillance and oversight objectives in relation to best execution, fair allocation, conflicts, market abuse, insider trading, market sounding, order management, and trade error resolution.
  • Maintains the firm's restricted lists in relation to insider trading and firewall between public and private functions.
  • Identifies best practices and potential enhancements to the firm's firewalls and control room functions.
  • Supports policy development and maintenance as they relate to Trading Practices topics.
  • Participates in or leads department or corporate projects and provides advice and support across departments and locations.

Qualifications:


  • Minimum 3+ years of investment adviser or financial service experience with an emphasis on compliance.
  • Experience with various asset types, including equity and fixed income assets, private investment funds, open-end mutual funds, bank loans, derivatives, real estate investments, corporate securities, and quantitative funds.
  • Knowledge of relevant regulations, such as the Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook, UCITS, MAR, AIFMD, and MIFID II.
  • Experience working with regulatory agencies and/or a corporate audit environment.
  • Experience in project management and addressing ad hoc data analysis requests.
  • Strong interpersonal, organizational, and analytical skills, with the ability to interact and negotiate with internal professionals.
  • Demonstrates ongoing commitment to continuous learning and self-improvement.
  • Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.

Barings is an Equal Employment Opportunity employer and welcomes all persons to apply.