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Senior Regulatory Advisor

2 months ago

London, Greater London, United Kingdom Barings Full time
About the Role

At Barings, we are committed to fostering a culture of excellence and integrity. We recognize the importance of our associates in delivering exceptional results and reward them for their dedication, expertise, and commitment to our clients.

We are seeking a highly skilled and experienced Senior Regulatory Advisor to join our Compliance team. As a trusted advisor, you will provide timely, sound, and pragmatic advice and guidance on a variety of regulatory matters emanating from regulatory change and business queries/development.

Key Responsibilities
  • Work closely with Product Management and Client Portfolio Management teams on matters regarding OFR, SDR, SFDR, and its application to Barings' funds.
  • Provide advice on changes related to the FCA's LTAF and EU ELTIF 2.0.
  • Work with investment teams and provide advice on changes from EU and UK MiFID.
  • Work proactively with Sales and Product Teams on the implementation of new regulations, helping to identify effective solutions that meet both regulatory expectations and Barings' business model.
  • Manage the internal regulatory horizon tracker and complete initial analysis of new regulations that are likely to have a material impact on Barings.
  • Maintain relevant documents and reports to support the above activities.
  • Participate or lead presentations on regulatory changes to business units.
  • Attend relevant events at law firms/consultants/trade bodies and feed insights/market intelligence back to colleagues.
  • Support the Head of Advisory on providing timely advice to Business Units on regulatory requirements, including AIFMD, UCITS, MiFID II, and navigating the impact of deviations between the UK and EU of associated regulatory changes.
Requirements
  • Strong knowledge of AIFMD and AIFMD 2, MiFID 2, UCITS, FCA/MiFID II requirements re product governance, COLL/FUNDESG – SFDR, and UK SDR.
  • Good knowledge of Conflicts of Interest, Cost transparency, COBS, and Wholesale Conduct.
  • Solutions-oriented.
  • Proactive with good communication skills (writing and oral).
  • Ability to positively engage with and influence senior stakeholders.
  • Ability to work with challenging and thought-provoking stakeholders.
  • Ability to balance the need to maintain a degree of independence with the need to build strong 'internal client' relationships.
  • Ability to focus on core responsibilities but also remain sufficiently flexible to deal with new issues/priorities.
About Us

Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.