Senior Trading Compliance Specialist

4 days ago

London, Greater London, United Kingdom Barings Full time

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

In this role, you will be responsible for ensuring that our trading activities are compliant with all relevant regulations and laws. You will work closely with our trading team to ensure that our trading practices are robust and effective.

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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