Trading Compliance Lead — Senior Associate/Director

Barings; Charlotte (NC); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Medical coverage

Prescription coverage

Dental coverage

Vision coverage

Fitness center reimbursement

Employee Assistance Program

Fertility Benefits

401(k) plan

Health Savings Account

Flexible Spending Accounts

Retirement Health Reimbursement

Life Insurance

Paid vacation

Paid leave of absences

Disability insurance

Volunteer time

Education assistance program

Charitable matching gifts

Commuter reimbursement

Adoption reimbursement

Job summary

Barings 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 against regulatory constraints. The role interacts with Portfolio Management, Trading, Legal, Risk and Operations and drives policy development and governance reporting.

The position emphasizes identifying breaches, implementing controls, and staying ahead of evolving regulatory requirements while supporting business units

Qualifications

• Minimum 4 years of investment adviser or financial service experience with emphasis on trade compliance.
• Experience across asset classes including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities.
• Experience with Firewalls, Insider Trading, Market Conduct, and other conflicts of interest policies.
• Knowledge of Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook\UCITS, MAR, AIFMD, MIFID II and other regulations.
• Experience with regulatory agencies (SEC, FINRA, CFTC, FCA) or corporate audits a plus.
• Experience in project management and addressing ad-hoc data analysis requests.
• Strong interpersonal and analytical skills; detail oriented; able to interact with management.
• Aladdin and strong Excel experience also a plus.

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.
• Conduct ongoing surveillance to identify MNPI misuse across trading, research, and other activities.
• Review wall-crossing requests and ensure proper controls and regulatory requirements are met.
• Identify patterns through surveillance reviews and escape findings as appropriate.
• Draft, maintain, and enhance policies and procedures related to trading practices.
• Lead or contribute to departmental projects aligned with compliance objectives.
• Develop reporting and periodic governance presentations as needed.
• Deliver targeted training on trading rules and internal policies.
• Resolve trading-related compliance issues and provide guidance to business units.
• Collaborate with IT and front office to implement solutions for regulatory requirements.
• Stay current on regulatory developments and advise management on risks.

Skills

Trade compliance

Regulatory knowledge

Aladdin

Excel

Cross-functional collaboration

Tools

Aladdin

Job description

Barings 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 against regulatory constraints. The role interacts with Portfolio Management, Trading, Legal, Risk and Operations and drives policy development and governance reporting.

The position emphasizes identifying breaches, implementing controls, and staying ahead of evolving regulatory requirements while supporting business units