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Title: Associate Director, Trading Practices Compliance

Business Unit: Compliance

Location: Charlotte, NC

Job Summary: Responsible for the day‑to‑day surveillance and oversight activities for the Firm’s trading functions. The role evaluates the Firm’s trading risk, identifies breaches of policies, and uses policies, procedures, and both manual and automated systems to mitigate risks and comply with regulatory restrictions. The position reports to the Head of Trading Practices Compliance and interacts with Portfolio Management, Trading, Legal, Risk, and Operations teams to protect the Firm from regulatory exposure and litigation risk.

• Assist with surveillance and compliance monitoring related to best execution, cross trades, fair allocation, order management, market abuse, insider trading, and trade error review and remediation.
• Proactively identify patterns or trends through surveillance reviews and elevate findings as appropriate.
• Draft, maintain, and enhance policies and procedures related to trading practices and regulatory obligations.
• Lead or contribute to key departmental and firm‑wide projects, ensuring alignment with compliance objectives.
• Participate in developing reporting and periodic presentations to governance forums.
• Develop and deliver targeted training on trading‑related rules, regulations, and internal policies to relevant stakeholders.
• Resolve or elevate trade‑related compliance issues and provide practical guidance to business units.
• Collaborate with IT, front office, and other stakeholders to design and implement solutions for new and evolving regulatory requirements.
• Stay current on regulatory developments and enforcement actions affecting trading practices and advise management on significant issues and emerging risks.

• Minimum 4 years of investment adviser or financial services experience with an emphasis on trade compliance.
• Experience across a range of 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 conflict‑of‑interest policies is strongly preferred.
• Knowledge of Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS, MAR, AIFMD, MiFIDII, and other applicable regulations.
• Experience working with regulatory agencies such as SEC, FINRA, CFTC, FCA, and/or a corporate audit environment is a plus.
• Experience in project management and addressing ad‑hoc data analysis requests.
• Effective, results‑oriented team player with strong interpersonal, critical‑thinking, organizational, and analytical skills; highly detail oriented, self‑motivated, and able to negotiate with internal professionals including management.
• Strong ability to comprehend highly technical regulatory requirements and a demonstrated commitment to continuous learning and self‑improvement.
• Proficiency in Aladdin or another order‑management system; strong Excel experience is also a plus.

• Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Strong Excel proficiency.
• Excellent communication skills with daily engagement with investment teams.
• Proven capability to comprehend highly technical regulatory requirements.
• Commitment to continuous learning and self‑improvement.

• CORE BENEFITS & WELLNESS: Medical (including Virtual Care), Prescription, Dental, and Vision Coverage.
• Fitness Center Reimbursement Program (including Online Memberships).
• Employee Assistance Program, Fertility Benefits, Financial Well‑Being.
• 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.
• LIFE INSURANCE: Basic and Supplemental Life Insurance; Spouse and Child Life Insurance.
• TIME OFF, DISABILITY AND LEAVE OF ABSENCE: 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.

Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.