Strategic Investment Governance Specialist

3 weeks ago

London, Greater London, United Kingdom Barings Full time

About Barings

At Barings, we value our associates as much as our clients. We recognize the hard work and dedication of our team members and reward them for their personal and professional integrity, effective communication skills, and expertise in specific strategies.

We are excited to introduce a new role within our Compliance team and invite you to explore this opportunity.

Title: Strategic Investment Governance Specialist

Business Unit: Compliance

Location: London, UK

Job Summary

This position is responsible for assisting in the maintenance and development of a comprehensive investment guideline monitoring program for client accounts and products. The successful candidate will assess the firm's guideline monitoring risks, identify breaches to prescribed policies, and use policies, procedures, and manual and automated systems to mitigate these risks and comply with stated client investment restrictions, product mandates, and regulatory thresholds.

This is a visible role within the organization, often interacting with Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.

Primary Responsibilities

  • The ideal candidate will successfully monitor investment guidelines on a pre and post-trade basis in Aladdin and internal systems, covering products such as corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, and structured products.
  • They will promptly escalate potential breaches of regulatory and client investment restrictions to Management, Portfolio Management, Client Services, and other relevant stakeholders within any stipulated deadlines.
  • The successful candidate will provide guidance to business units on relevant investment compliance issues, resolve, and/or recommend solutions to management for investment guideline compliance-related issues.
  • They will assist with ad-hoc investment guideline coding amendments and regulatory examinations, as well as participate in other department or corporate projects as requested.

Qualifications

  • A graduate with at least 5 years of asset management experience, preferably in Compliance or Middle Office PM assistants.
  • A minimum of 2-3 years of guideline management experience, with Aladdin experience being a plus but knowledge of other OMS/Compliance systems will also be considered.
  • An understanding of EU regulations, particularly UCITS & AIFMD, and US regulations, including the 1940 Act, ERISA, and US State Sector rules.
  • Strong organizational and analytical skills, attention to detail, and ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
  • Ability to comprehend highly technical regulatory requirements and communicate effectively with various stakeholders.
  • Strong Excel experience and good working knowledge of order generation and dealing process/risk control are essential.
  • Familiarity with indices and derivative instruments and knowledge of how these can be used in portfolios.

Barings is an Equal Employment Opportunity employer, committed to diversity and inclusion. We welcome all persons to apply.

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