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Trading Practices Compliance Specialist

1 month ago

London, Greater London, United Kingdom Barings Full time

At Barings, we value our associates and recognize those who work diligently for us. We reward them for personal and professional integrity, communication skills, distinct competencies, and expertise in specific strategies. Our team members collaborate effectively and demonstrate true dedication to our clients.

We invite you to explore our current employment opportunities and thank you for your interest in joining the Barings team.

Job Summary:

  • Responsible for the day-to-day surveillance and oversight activities for the Firm's various trading functions.
  • Position is responsible for the assessment of the Firm's trading risk and identifying breaches to prescribed policies.
  • Requires 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:

  • Must successfully 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.

Qualifications:

  • Minimum 5+ years of investment adviser or financial service experience with emphasis on compliance.
  • 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.
  • Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS, MAR, AIFMD, MIFID II, and other applicable regulations.
  • 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 possess the skills to successfully interact and negotiate with internal professionals, including management.
  • Strong ability to comprehend highly technical regulatory requirements. 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.

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.