Senior Associate, Core Compliance

Barings; Charlotte (NC); On-site; CAD 124,000 - 180,000; Full time

Benefits offered by this job

Medical & Vision

Dental Coverage

Fertility Benefits

EAP

401(k) Match

HSA with Company Contributions

FSAs

Life Insurance

Paid Vacation

Paid Leave

Disability

Volunteer Time

Education Assistance

Charitable Matching

Commuter Reimbursement

Adoption & Surrogacy

Job summary

Barings seeks a Senior Associate, Core Compliance in Charlotte, NC to support Code of Ethics and related conflicts of interest programs. You will work with the Head of Core Compliance to improve processes, conduct reviews, and assist with governance reporting.

The role requires 2–5 years of compliance experience, strong communication skills, and the ability to work independently or with the team to deliver results.

Qualifications

• 2–5 years investment adviser compliance experience with familiarity with Codes of Ethics and conflicts of interest policies.
• Excellent verbal, written and interpersonal skills; ability to communicate clearly across levels of the corporation.
• Strong work ethic; results-driven and able to deliver.
• Ability to work independently as well as collaboratively to achieve results.

Responsibilities

• Support Code of Ethics and the automated personal trading system.
• Handle complex personal trading issues.
• Identify best practices and potential Code enhancements.
• Participate in upgrades to the automated personal trading system.
• Conduct Code training as needed.
• Perform expanded forensic testing of Code.
• Assist with other Core Compliance deliverables including Conflicts of Interest, gifts and entertainment, outside business activities, and Financial Crime Prevention program support.
• Prepare and input to Client and Board/Governance Reporting; ensure books and records compliance; maintain policies and procedures; deliver training; contribute to technology initiatives.

Job description

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.

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

Title: Senior Associate, Core Compliance

Business Unit: Compliance

Location: Charlotte, NC

Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers. Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets. A subsidiary of MassMutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific.

Job Summary

The senior associate reports to the Head of Core Compliance. Working with the Head of Core Compliance and other team members, this position is responsible for facilitating the administration of Barings’ Code of Ethics and various other conflicts of interest policies such as the firm’s outside business activities, gifts and entertainment as well as handling other regulatory review and oversight activity and initiatives such as AML and KYC reviews. The incumbent regularly reviews processes and suggests improvements.

Primary Responsibilities

Support Code of Ethics

• Thoroughly understand the Code of Ethics and the automated personal trading system
• Handle complex personal trading issues
• Identify best practices and other potential Code enhancements
• Participate in upgrades to automated personal trading system
• Conduct Code training, as needed
• Perform expanded forensic testing of Code

Assist with other Core Compliance Team deliverables, including:

• Assessing and overseeing Conflicts of Interest
• Review and approval of gifts and entertainment
• Review and approval of outside business activitiesSupport the Financial Crime Prevention Program
• Preparation of and input to Client and Board/Governance Reporting
• Books and records requirements
• Maintenance and review of policies and procedures
• Preparation and delivery of training
• Technology initiatives

Qualifications

• Minimum 2-5 years investment adviser compliance experience required with a strong understanding and familiarity with Codes of Ethics and other conflicts of interest polices.
• Excellent verbal, written and interpersonal skills and the ability to communicate clearly with associates at all levels of the corporation.
• Strong work ethic; results-based, action oriented. Drives for business results; proven ability to deliver.
• Ability to work independently as well as collaboratively to achieve results, prioritize, and manage expectations.

Requisite Skills

Additional Skills

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.

_ Barings offers a comprehensive benefits package including: _

CORE BENEFITS & WELLNESS

• Medical (including Virtual Care), Prescription, Dental, and Vision Coverage
• Fitness Center Reimbursement Program (Including Online Memberships)
• Employee Assistance Program (EAP)
• Fertility Benefits

FINANCIAL WELL-BEING

• Highly competitive 401(k) Plan with Company Match
• Health Savings Account (HSA) with Company Contributions
• Flexible Spending Accounts (FSA) - Health Care & Dependent Care
• Retirement Health Reimbursement Account

LIFE INSURANCE

• Basic and Supplemental Life Insurance
• Spouse and Child Life Insurance

TIME OFF, DISABILITY AND LEAVE OF ABSENCE

• Paid Vacation, Sick Days and Annual Holidays
• Paid Leave of Absences (Maternity Leave, Parental Leave, Caregiver Leave, Bereavement Time)
• Short and Long Term Disability Plans
• Paid Volunteer Time

OTHER BENEFITS

• Education Assistance Program
• Charitable Matching Gifts Program
• Commuter Reimbursement Program
• Adoption and Surrogacy Reimbursement Program