Senior Associate, Core Compliance

Barings•Charlotte, NC

3d•Onsite

About The Position

The Senior Associate, Core Compliance reports to the Head of Core Compliance. 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. The role also involves handling other regulatory review and oversight activity and initiatives such as AML and KYC reviews. The incumbent regularly reviews processes and suggests improvements.

Requirements

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.

Nice To Haves

Thoroughly understand the Code of Ethics and the automated personal trading system

Responsibilities

Support Code of Ethics
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
Assess and oversee 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

Benefits

Medical (including Virtual Care), Prescription, Dental, and Vision Coverage
Fitness Center Reimbursement Program (Including Online Memberships)
Employee Assistance Program (EAP)
Fertility Benefits
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
Basic and Supplemental Life Insurance
Spouse and Child Life Insurance
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
Education Assistance Program
Charitable Matching Gifts Program
Commuter Reimbursement Program
Adoption and Surrogacy Reimbursement Program