Barings LLC
Associate Director, Portfolio Compliance
Barings LLC, Charlotte, North Carolina, United States, 28245
Associate Director, Guideline Management
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.Title: Guideline Management – Senior Associate / Associate DirectorBusiness Unit: ComplianceLocation: Boston, MA; Charlotte, NC;Job Summary
This position is responsible for assisting in the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program for the firm’s client accounts and products. Position is responsible for assisting in the assessment of the firm’s guideline monitoring risks and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with stated client investment restrictions, product mandates and regulatory thresholds. This is a visible position within the organization, often interacting with members of the firm’s Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.Primary Responsibilities
Must successfully monitor investment guidelines for products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, structured products.Construct and maintain pre- and post-trade controls designed to avoid/identify breaches to client & regulatory guidelines.Assist with ad-hoc investment guideline coding amendments.Provide guidance to business units and compliance staff on relevant investment compliance issues. Resolve and/or recommend to management solutions to investment compliance related issues.Remain current with regulatory matters related to the industry generally and investment compliance specifically. Advise management of significant developments.Assist with regulatory examinations and other internal audits as appropriate.Participate in other department or corporate projects as requested.Qualifications
Graduate with minimum of 3-5 years' asset management experienceMinimum 3 years' guideline management experienceProficiency in monitoring trading and coding in BlackRock’s Aladdin preferred, or other Portfolio Compliance systems (Charles River, Bloomberg AIM, Sentinel etc.)Understanding of US regulations, particularly 1940 Act; ERISA and US State Sector rulesExperience working with regulatory agencies (e.g., SEC, FINRA, FCA) and/or a corporate audit environment a plusEffective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail orientedStrong ability to comprehend highly technical regulatory requirementsStrong Excel experience also a plusGood working knowledge of order generation and dealing process/risk controlReading Prospectuses and segregated mandates to identify relevant guidelines and applicable regulations; and implementing automated controls and supplemental manual checks for non-programmable guidelinesUnderstanding of EU regulations, particularly UCITS & AIFMDUnderstanding of indices and derivative instruments; knowledge of how these can be used in portfoliosAbility to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing riskGood communicator who has previous daily engagement with investment teamsBarings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.About Us
Barings is a leading global asset management firm dedicated to meeting the evolving investment and capital needs of our clients. We build lasting partnerships that leverage our distinctive expertise across traditional and alternative asset classes to deliver innovative, institutional-quality solutions and service.Our team-driven culture is based on transparency, responsibility and putting our clients’ interests first. We listen to our clients to understand their needs, so that we can be a strategic advisor and long-term partner in meeting their unique investment goals. Risk management and protecting our investors’ capital over the long term is an essential component of our lasting partnerships.Barings is also committed to building long-term relationships with our associates and providing opportunities and support to help them succeed. With our expanding business and global footprint, Barings offers a wealth of opportunities for associates who share our culture, values and commitment to excellence in client service.As an organization, we believe that a diversity of perspectives and strengths is essential to meeting the evolving needs of our clients, and we are committed to attracting and retaining a talented workforce as diverse as the clients and communities that contribute to our success.
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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.Title: Guideline Management – Senior Associate / Associate DirectorBusiness Unit: ComplianceLocation: Boston, MA; Charlotte, NC;Job Summary
This position is responsible for assisting in the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program for the firm’s client accounts and products. Position is responsible for assisting in the assessment of the firm’s guideline monitoring risks and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with stated client investment restrictions, product mandates and regulatory thresholds. This is a visible position within the organization, often interacting with members of the firm’s Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.Primary Responsibilities
Must successfully monitor investment guidelines for products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, structured products.Construct and maintain pre- and post-trade controls designed to avoid/identify breaches to client & regulatory guidelines.Assist with ad-hoc investment guideline coding amendments.Provide guidance to business units and compliance staff on relevant investment compliance issues. Resolve and/or recommend to management solutions to investment compliance related issues.Remain current with regulatory matters related to the industry generally and investment compliance specifically. Advise management of significant developments.Assist with regulatory examinations and other internal audits as appropriate.Participate in other department or corporate projects as requested.Qualifications
Graduate with minimum of 3-5 years' asset management experienceMinimum 3 years' guideline management experienceProficiency in monitoring trading and coding in BlackRock’s Aladdin preferred, or other Portfolio Compliance systems (Charles River, Bloomberg AIM, Sentinel etc.)Understanding of US regulations, particularly 1940 Act; ERISA and US State Sector rulesExperience working with regulatory agencies (e.g., SEC, FINRA, FCA) and/or a corporate audit environment a plusEffective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail orientedStrong ability to comprehend highly technical regulatory requirementsStrong Excel experience also a plusGood working knowledge of order generation and dealing process/risk controlReading Prospectuses and segregated mandates to identify relevant guidelines and applicable regulations; and implementing automated controls and supplemental manual checks for non-programmable guidelinesUnderstanding of EU regulations, particularly UCITS & AIFMDUnderstanding of indices and derivative instruments; knowledge of how these can be used in portfoliosAbility to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing riskGood communicator who has previous daily engagement with investment teamsBarings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.About Us
Barings is a leading global asset management firm dedicated to meeting the evolving investment and capital needs of our clients. We build lasting partnerships that leverage our distinctive expertise across traditional and alternative asset classes to deliver innovative, institutional-quality solutions and service.Our team-driven culture is based on transparency, responsibility and putting our clients’ interests first. We listen to our clients to understand their needs, so that we can be a strategic advisor and long-term partner in meeting their unique investment goals. Risk management and protecting our investors’ capital over the long term is an essential component of our lasting partnerships.Barings is also committed to building long-term relationships with our associates and providing opportunities and support to help them succeed. With our expanding business and global footprint, Barings offers a wealth of opportunities for associates who share our culture, values and commitment to excellence in client service.As an organization, we believe that a diversity of perspectives and strengths is essential to meeting the evolving needs of our clients, and we are committed to attracting and retaining a talented workforce as diverse as the clients and communities that contribute to our success.
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