Barings
Associate Director, Guideline Management
Barings is inviting applications for the
Associate Director, Guideline Management
role.
Title:
Guideline Management – Associate Director Business Unit:
Compliance Location:
Boston, MA; Charlotte, NC
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. It involves assessing the firm’s guideline monitoring risks and identifying breaches to prescribed policies, using policies, procedures, and manual and automated systems to mitigate risks in compliance with client investment restrictions, product mandates and regulatory thresholds. The role is visible within the organization, interacting with Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.
Primary Responsibilities
Successfully monitor investment guidelines for products including corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, and structured products.
Construct and maintain pre‑ and post‑trade controls designed to avoid or identify breaches to client and regulatory guidelines.
Assist with assessing restrictions in portfolio organizational documents and coding them into the order management system.
Escalate potential breaches of regulatory and client investment restrictions promptly to management and stakeholders.
Provide guidance to business units and compliance staff on relevant investment compliance issues, resolving or recommending solutions.
Stay current with regulatory matters related to the industry and investment compliance.
Assist with regulatory examinations and internal audits as appropriate.
Participate in other departmental or corporate projects as requested.
Qualifications
Graduate with minimum of 5 years’ asset management experience (preferred).
Minimum 3 years' guideline management experience (preferred).
Proficiency in monitoring trading and coding in BlackRock’s Aladdin preferred (other OMS/Portfolio Compliance systems considered).
Understanding of EU regulation (UCITS & AIFMD) and US regulations including 1940 Act, ERISA and state sector rules.
Experience working with regulatory agencies (SEC, FINRA, FCA) and/or a corporate audit environment (plus).
Strong team player, interpersonal skills, organizational and analytical skills, detail oriented.
Strong ability to comprehend highly technical regulatory requirements.
Strong Excel experience (plus).
Knowledge of order generation and dealing process/risk control.
Proficiency reading prospectuses and segregated mandates to identify relevant guidelines, implementing automated and manual checks.
Understanding of indices and derivative instruments.
Ability to handle high volumes of work under tight deadlines while maintaining accuracy.
Good communicator with previous daily engagement with investment teams.
Base Salary Range $85,000 – $140,000 USD plus additional incentive program.
Equal Employment Opportunity 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.
Benefits Barings offers a comprehensive benefits package including:
CORE BENEFITS & WELLNESS
Medical (including Virtual Care), Prescription, Dental, and Vision Coverage
Fitness Center Reimbursement Program (Including Online Memberships)
Employee Assistance Program (EAP)
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
Other Benefits
Education Assistance Program
Charitable Matching Gifts Program
Commuter Reimbursement Program
Adoption and Surrogacy Reimbursement Program
#J-18808-Ljbffr
Associate Director, Guideline Management
role.
Title:
Guideline Management – Associate Director Business Unit:
Compliance Location:
Boston, MA; Charlotte, NC
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. It involves assessing the firm’s guideline monitoring risks and identifying breaches to prescribed policies, using policies, procedures, and manual and automated systems to mitigate risks in compliance with client investment restrictions, product mandates and regulatory thresholds. The role is visible within the organization, interacting with Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.
Primary Responsibilities
Successfully monitor investment guidelines for products including corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate, and structured products.
Construct and maintain pre‑ and post‑trade controls designed to avoid or identify breaches to client and regulatory guidelines.
Assist with assessing restrictions in portfolio organizational documents and coding them into the order management system.
Escalate potential breaches of regulatory and client investment restrictions promptly to management and stakeholders.
Provide guidance to business units and compliance staff on relevant investment compliance issues, resolving or recommending solutions.
Stay current with regulatory matters related to the industry and investment compliance.
Assist with regulatory examinations and internal audits as appropriate.
Participate in other departmental or corporate projects as requested.
Qualifications
Graduate with minimum of 5 years’ asset management experience (preferred).
Minimum 3 years' guideline management experience (preferred).
Proficiency in monitoring trading and coding in BlackRock’s Aladdin preferred (other OMS/Portfolio Compliance systems considered).
Understanding of EU regulation (UCITS & AIFMD) and US regulations including 1940 Act, ERISA and state sector rules.
Experience working with regulatory agencies (SEC, FINRA, FCA) and/or a corporate audit environment (plus).
Strong team player, interpersonal skills, organizational and analytical skills, detail oriented.
Strong ability to comprehend highly technical regulatory requirements.
Strong Excel experience (plus).
Knowledge of order generation and dealing process/risk control.
Proficiency reading prospectuses and segregated mandates to identify relevant guidelines, implementing automated and manual checks.
Understanding of indices and derivative instruments.
Ability to handle high volumes of work under tight deadlines while maintaining accuracy.
Good communicator with previous daily engagement with investment teams.
Base Salary Range $85,000 – $140,000 USD plus additional incentive program.
Equal Employment Opportunity 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.
Benefits Barings offers a comprehensive benefits package including:
CORE BENEFITS & WELLNESS
Medical (including Virtual Care), Prescription, Dental, and Vision Coverage
Fitness Center Reimbursement Program (Including Online Memberships)
Employee Assistance Program (EAP)
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
Other Benefits
Education Assistance Program
Charitable Matching Gifts Program
Commuter Reimbursement Program
Adoption and Surrogacy Reimbursement Program
#J-18808-Ljbffr