Associate Director
1 week ago
Job Summary 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: Associate Director, Trading Practices Compliance Business Unit: Compliance Location: Singapore Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers. Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets. A subsidiary of MassMutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific. Primary Responsibilities Responsible for primarily assisting 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. Additional responsibilities will include assisting with monitoring personal conflicts of interest such as personal trading and gifts and entertainment (G&E), as well as reviewing marketing materials and performing Anti-Money Laundering (AML) and Know Your Customer (KYC) checks. 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 presentation to governance forums as needed. Represent the firm in client meetings, delivering presentations and contributing to discussions as needed. Provide regulatory guidance and compliance support across global Compliance teams and business units. Develop and deliver targeted training on trading-related rules, regulations, and internal policies to relevant stakeholders. Resolve or elevate trading-related compliance issues and provide practical guidance to business units. Collaborate with IT, front office, and other stakeholders to design and implement solutions that address 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. Support real estate business development in Singapore in conjunction with the related activities conducted in the APAC region including, Japan, Korea and Australia, including fund launch, regulatory approval process and ongoing reporting. Qualifications Minimum of 5 years of experience in the investment adviser or financial services industry, with a strong emphasis on compliance. Experience across a range of asset classes primarily including private lending, private investment funds,
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