Trading Compliance Lead — Senior Associate

Barings LLC; Charlotte (NC); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

401(k) Plan with Company Match

Health Savings Account (HSA)

Commuter Reimbursement Program

Job summary

Barings LLC in Charlotte, NC seeks a Senior Associate/Associate Director for Trading Practices Compliance to oversee day-to-day surveillance of trading activities and assess risk compliance with firm policies. The role interfaces with Portfolio Management, Trading, Legal, Risk, and Operations to mitigate regulatory exposure and protect Barings’ interests.

The successful candidate will lead surveillance on best execution, MNPI, wall-crossing, and policy development, while staying abreast of

Qualifications

• Minimum 4 years of investment adviser or financial service experience in trade compliance.
• Experience across asset classes including private lending, private investment funds, bank loans, derivatives, real estate, and corporate securities.
• Knowledge of the provisions within Investment Advisers Act, Investment Company Act, ERISA, MAR, AIFMD, MIFID II and other applicable regulations.
• Experience working with regulatory agencies (SEC, FINRA, CFTC, FCA) and/or a corporate audit environment is a plus.
• Strong project management, analytical, and communication skills.

Responsibilities

• Assist with surveillance and compliance monitoring related to best execution, cross trades, fair allocation, order management, market abuse, insider trading, and trade error review.
• Review wall-crossing requests and related documentation for proper controls and regulatory requirements.
• Identify patterns through surveillance reviews and escalate findings as appropriate.
• Draft and maintain policies and procedures related to trading practices and regulatory obligations.
• Collaborate with IT, front office, and other stakeholders to implement solutions addressing regulatory requirements.
• Stay current on regulatory developments and advise management on issues and risks.

Skills

Trade compliance

Regulatory knowledge

Analytical skills

Attention to detail

Interpersonal skills

Tools

Aladdin

Excel

Job description

Barings LLC in Charlotte, NC seeks a Senior Associate/Associate Director for Trading Practices Compliance to oversee day-to-day surveillance of trading activities and assess risk compliance with firm policies. The role interfaces with Portfolio Management, Trading, Legal, Risk, and Operations to mitigate regulatory exposure and protect Barings’ interests.

The successful candidate will lead surveillance on best execution, MNPI, wall-crossing, and policy development, while staying abreast of