Associate Director –Trading Practices Compliance

5 days ago

Singapur, Singapore Barings Full time

Associate Director – Trading Practices Compliance Barings invites you to apply for the Associate Director – Trading Practices Compliance role in its Singapore Compliance business unit. The position focuses on day‑to‑day surveillance and oversight of the firm’s trading functions, the assessment of trading risk, and the enforcement of trading policy and regulatory compliance. Job Summary The Associate Director leads the firm’s monitoring and regulatory activities related to trading practices, providing guidance to Portfolio Management, Trading, Legal, Risk, and Operations teams. The role also manages the Compliance Department’s strategic planning, project facilitation, and reporting to governance forums. Primary Responsibilities Assist with surveillance and compliance monitoring of best‑execution, cross‑trades, fair allocation, order management, market abuse, insider trading, and trade‑error review. Monitor personal conflicts of interest, including personal trading, gifts and entertainment (G&E), marketing materials, and perform Anti‑Money Laundering (AML) and Know Your Customer (KYC) checks. Identify patterns or trends through surveillance reviews and appropriately elevate findings. 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. Develop reporting and periodic presentations to governance forums. Represent the firm in client meetings, delivering presentations and providing regulatory guidance. Collaborate with IT, front office, and other stakeholders to design and implement solutions for 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 and across APAC, including fund launch, regulatory approval, and ongoing reporting. Qualifications Minimum five years of experience in investment adviser or financial services compliance, with exposure to private lending, funds, securities, derivatives, and real‑estate investments. Deep understanding of the Compliance function and its strategic relationship with business operations. Proven experience in a global, matrixed investment management environment, influencing and communicating with key stakeholders. Knowledge of real‑estate regulations in Singapore is a plus. Strong knowledge of regulatory frameworks including FCA Handbook, UCITS Directive, AIFMD, SEC Investment Advisers Act, HK SFO, HK SFC Codes & Guidelines, ASIC, and other relevant regulations. Experience with regulatory agencies or corporate audit environments is a plus. In‑depth understanding of front‑office controls from a second‑line monitoring perspective. Experience in project management and ad‑hoc data‑analysis requests. Excellent analytical, organizational, and interpersonal skills, with meticulous attention to detail. Ability to manage multiple priorities in a fast‑paced environment. Self‑motivated, proactive, and effective at engaging senior stakeholders. Proficiency with Aladdin or another order‑management system required. Seniority Level Mid‑Senior level Employment Type Full‑time Job Function Finance and Sales 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. #J-18808-Ljbffr

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