Regulatory Intelligence Specialist

1 month ago

London, Greater London, United Kingdom Barings LLC Full time
Senior Compliance Advisor

Apply locations: London, United Kingdom

Time Type: Full time

Job Requisition ID: JR_005142

At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.

Job Title: Senior Compliance Advisor

Department: Compliance

Reports to: Head of Advisory, Compliance

Team Overview

The European Compliance department comprises four teams: Compliance Advisory, Compliance Ireland, Financial Crime Prevention and Core & Monitoring. This role sits within the Advisory team, which supports, guides and where appropriate, challenges the business on a wide range of regulatory and compliance matters. The candidate will have the opportunity to work with a highly technical team that is respected across the business and partners with multiple colleagues across Barings' global offices on key regulatory matters.

Purpose of Role

Acting as a trusted adviser to the business by providing timely, sound and pragmatic advice and guidance on a variety of regulatory matters emanating from regulatory change and business queries/development. The primary focus of the role is to support the business on changes to the UK and EU retail investor protection agenda, ESG, revisions to the AIFMD, capital markets regulation, and the proposed overhaul of the UK regulatory regime for asset managers.

Regulatory Developments

  1. Work proactively with Sales and Product Teams on the implementation of new regulations (i.e., the FCA's Consumer Investments Markets and the EU's Retail Investment Strategy) helping to identify effective solutions that meet both regulatory expectations and Barings business model.
  2. Managing the internal regulatory horizon tracker and completing initial analysis of new regulations that are likely to have a material impact on Barings.
  3. Participate or lead presentations on regulatory changes to business units.
  4. Attend relevant events at law firms / consultants / trade bodies and feed insights / market intelligence back to colleagues.
  5. Support the Head of Advisory on providing timely advice to Business Units on the following regulatory requirements: AIFMD, UCITS, MiFID II and navigating the impact of the deviations between the UK and EU of associated regulatory changes.

Compliance Policies/Framework

  1. Keeping Compliance policies and procedures up to date.
  2. Produce new and/or amended Compliance policies and procedures as a result of regulatory or business change.
  3. Input into the Compliance plan as required.
  4. Undertake other Compliance processes as required.
  5. Assist the Head of Advisory in maintaining Compliance processes e.g., the Conflicts of Interest Register, Client take-on and annual planning.
  6. Assist the Head of Compliance in dealing with visits/requests from regulators, including preparation and reporting activities.

Reporting

  1. Provide and/or input into Compliance reports to various boards and committees.
  2. Assist the Heads of Compliance and Distribution in Ireland with required Irish reporting.
  3. Proactive with good communication skills (writing and oral).
  4. Ability to focus on core responsibilities but also remain sufficiently flexible to deal on occasions with new issues / priorities.

The role would suit a professional individual looking to make the next step in their career and who is currently working at regulatory consultant, law firm or asset manager in a Compliance business-facing role.

About Us

Barings is a leading global asset management firm dedicated to meeting the evolving investment and capital needs of our clients. We build lasting partnerships that leverage our distinctive expertise across traditional and alternative asset classes to deliver innovative, institutional-quality solutions and service.

Barings is also committed to building long-term relationships with our associates and providing opportunities and support to help them succeed. With our expanding business and global footprint, Barings offers a wealth of opportunities for associates who share our culture, values and commitment to excellence in client service.

As an organization, we believe that a diversity of perspectives and strengths is essential to meeting the evolving needs of our clients, and we are committed to attracting and retaining a talented workforce as diverse as the clients and communities that contribute to our success.

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