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.
We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.
Title: Guideline Management Senior Associate
Business Unit: Compliance
Location: London, UK
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 on a pre and post-trade basis in Aladdin and internal systems. Monitoring will cover products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate and structured products.
Escalate potential breaches of regulatory and client investment restrictions promptly and within any stipulated deadlines to Management, Portfolio Management, Client Services and other relevant stakeholders.
Provide guidance to business units on relevant investment compliance issues. Resolve and/or recommend to management solutions to investment guideline compliance related issues.
Assist with ad-hoc investment guideline coding amendments.
Assist with regulatory examinations and other internal audits as appropriate.
Participate in other department or corporate projects as requested.
Qualifications
Graduate with minimum of 5 years' asset management experience [Compliance or Middle Office PM assistants].
Minimum 2-3 years' guideline management experience. Aladdin experience is preferable however knowledge of other OMS/ Compliance systems will be considered, such as Bloomberg AIM, Charles River, Sentinel & thinkFolio.
Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations, particularly 1940 Act; ERISA and US State Sector rules.
Effective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail oriented.
Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
Strong ability to comprehend highly technical regulatory requirements.
Strong Excel experience also a plus.
Good working knowledge of order generation and dealing process/risk control.
Reading Prospectuses and segregated mandates to identify relevant guidelines and applicable regulations.
Understanding of indices and derivative instruments; knowledge of how these can be used in portfolios.
Good communicator who has previous daily engagement with investment teams.
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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.
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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