Senior Associate, Core Compliance

Barings

Charlotte (NC)

On-site

USD 80,000 - 105,000

Full time

2 days ago

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Benefits offered by this job

Medical, Prescription, Dental, and Vis

401(k) Plan with Company Match

Health Savings Account

Flexible Spending Accounts

Paid Vacation & Holidays

Education Assistance Program

Charitable Matching Gifts

Job summary

Barings in Charlotte, NC is seeking a Senior Associate, Core Compliance to support the Code of Ethics and conflicts of interest policies. The role involves regulatory reviews, training, and process improvements under the Head of Core Compliance.

The successful candidate will review and enhance ethics programs, participate in monitoring programs, and collaborate with the team on governance reporting and policy maintenance.

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.

Responsibilities

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
Assessing and overseeing Conflicts of Interest
Review and approval of gifts and entertainment
Review and approval of outside business activities
Support 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

Skills

Investment compliance

Codes of Ethics

Conflicts of Interest

Communication skills

Independent / collaborative work

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

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.

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 activities
Support 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.

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