Trading Practices Compliance Associate

5 days ago

London, Greater London, United Kingdom Barings Full time

Are you looking for a challenging and rewarding role in a dynamic and growing company? Do you have a passion for compliance and a strong background in investment adviser or financial service experience?

We are seeking a Trading Practices Compliance Associate to join our team at Barings. This is an exciting opportunity for an experienced professional to take their career to the next level.

About the Role:

  • This position is responsible for the day-to-day surveillance and oversight activities for the Firm's various trading functions.
  • You will be responsible for assessing the Firm's trading risk and identifying breaches to prescribed policies.
  • You will require the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions.
  • This position reports to the Head of Trading Practices Compliance and is a visible position within the organization often interacting with members of the firm's Portfolio Management, Trading, Legal, Risk, and Operations teams.

Responsibilities:

  • Monitor 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.
  • Meet surveillance and oversight objectives in relation to best execution, fair allocation, conflicts, market abuse, insider trading/market sounding, order management and trade error resolution.
  • Maintain the firm's restricted lists in relation to insider trading and firewall between public and private functions.
  • Identify best practices and other potential enhancements to the firm's firewalls and control room functions.
  • Support/ownership of Compliance policy development and maintenance as they relate to Trading Practices topics.
  • Participate in or lead key department or corporate projects as requested. Provide advice and support across departments and across global locations. Resolve and/or recommend to management solutions to trading-related issues; provide guidance to business units on relevant compliance issues.

About You:

  • A minimum of 3+ years of investment adviser or financial service experience with emphasis on compliance is required.
  • 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 is also desired.
  • Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS, MAR, AIFMD, MIFID II and other applicable regulations a plus.
  • Experience working with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or a corporate audit environment a plus.
  • Experience in project management and addressing ad hoc data analysis requests.
  • Effective, results-oriented team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail-oriented.
  • Must be self-motivated and must possess the skills to successfully interact and negotiate with internal professionals, including management.
  • Demonstrates ongoing commitment to continuous learning and self-improvement. Aladdin and strong Excel experience also a plus.
  • Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk. Good communicator who has previous daily engagement with investment teams

Estimated salary range: $80,000 - $110,000 per annum, depending on location and experience.

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