Senior Director, Head of Trading Practices Compliance
On-site · Charlotte, North Carolina, United States
Job Summary
SeniorDirector-level leadership role overseeing surveillance and oversight of Barings' trading functions, with responsibility for assessing trading risk, identifying breaches to policies, drafting and maintaining trading-related policies and procedures, leading a Compliance Department team, coordinating with Portfolio Management, Trading, Legal, Risk, and Operations, and driving regulatory compliance initiatives across global locations. The role includes managing projects, providing guidance to business units on compliance issues, collaborating with IT to address regulatory requirements, and staying current on enforcement actions affecting trading.
Required Qualifications
- Minimum 7+ years of investment adviser or financial service experience with emphasis on compliance
- Experience across asset classes including private lending, private investment funds, bank loans, derivatives, real estate investments, and corporate securities
- Knowledge of the Investment Advisers Act, Investment Company Act, ERISA, FCA Handbook/UCITS and other applicable regulations
- Experience with regulatory agencies (e.g., SEC) and/or corporate audit environment a plus
- Experience in project management and addressing ad-hoc data analysis requests
- Strong analytical, organizational, and interpersonal skills; detail-oriented
- Self-motivated and proactive; ability to interact with management and internal professionals
- Proficiency in Aladdin is a must
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