Senior Trading Compliance Specialist

Barings; Charlotte (NC); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Medical, dental, vision coverage

401(k) plan with company match

HSA contributions

FSA

Job summary

Barings in Charlotte, NC is seeking a Senior Associate/Associate Director for Trading Practices Compliance to lead day-to-day surveillance of trading activities and assess risk to ensure policy and regulatory adherence. This role collaborates with Portfolio Management, Trading, Legal, Risk, and Operations to protect the firm from regulatory exposure.

The ideal candidate has 4+ years in investment or financial services trade compliance, with knowledge of major regulations, MNPI handling, and

Qualifications

• Minimum 4 years of investment adviser or financial services experience with emphasis on trade compliance, across multiple asset classes.
• Knowledge of Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS, MAR, AIFMD, MiFID II and related regulations.
• Experience with regulatory agencies (e.g., SEC, FINRA, CFTC, FCA) and/or corporate audit environment is a plus.
• Experience with Wall-crossing, MNPI handling, market conduct and conflicts of interest policies.
• Strong analytical, organizational and communication skills; detail oriented and able to work under tight deadlines.
• Proficiency in Aladdin or alternative order management systems is required.

Responsibilities

• Assist with surveillance and monitoring related to best execution, cross trades, fair allocation, order management, market abuse, insider trading, and trade error remediation.
• Conduct ongoing surveillance to identify potential MNPI misuse across trading and research activities.
• Review wall-crossing requests and related documentation for proper controls and regulatory compliance.
• Identify patterns from surveillance and elevate findings to senior management as needed.
• Draft and enhance policies and procedures related to trading practices and regulatory obligations.
• Lead or contribute to department and firm-wide projects aligning with compliance objectives.
• Prepare reporting and governance presentations as required.
• Deliver targeted training on trading rules and internal policies to stakeholders.
• Resolve or escalate trading compliance issues and provide business guidance.
• Collaborate with IT and front office to implement solutions addressing regulatory requirements.
• Stay updated on regulatory developments and advise management on significant issues.

Skills

Trading compliance

Analytical thinking

Regulatory knowledge

Interpersonal skills

Detail oriented

Self-motivated

Project management

Communication skills

Tools

Aladdin

Excel

Job description

Barings in Charlotte, NC is seeking a Senior Associate/Associate Director for Trading Practices Compliance to lead day-to-day surveillance of trading activities and assess risk to ensure policy and regulatory adherence. This role collaborates with Portfolio Management, Trading, Legal, Risk, and Operations to protect the firm from regulatory exposure.

The ideal candidate has 4+ years in investment or financial services trade compliance, with knowledge of major regulations, MNPI handling, and