Associate Director Trading Practices Compliance

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.

Job Summary

We are seeking an Associate Director, Trading Practices Compliance to join our Singapore. The ideal candidate is responsible for the day-to-day surveillance and oversight activities for the Firm’s various trading functions. Position is responsible for the assessment of the Firm’s trading risk and identifying breaches to prescribed policies. Requires the use of policies, procedures, and manual and automated systems to mitigate these risks and comply with regulatory restrictions. This position is a visible position within the organization often interacting with members of the firm’s Portfolio Management, Trading, Legal, Risk, and Operations teams. The Associate Director will also take a lead role in managing the Compliance Department’s strategic planning process, including facilitating the completion of projects and elevating related risks.

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 escalate 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 escalate 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, bank loans, derivatives, real estate investments, and corporate securities are required.

Deep understanding of the Compliance function and its strategic relationship with business operations.

Proven experience working within a global, matrixed investment management organization, with demonstrated ability to influence and communicate effectively with key stakeholders.

Good understanding of real estate business and related rules and regulations in Singapore and knowledge of real estate products is a plus;

Strong knowledge of applicable regulatory frameworks, including the FCA Handbook, UCITS Directive, AIFMD, SEC Investment Advisers Act, HK Securities and Futures Ordinance, HK SFC Codes and Guidelines, ASIC (Australia) and other relevant regulations.

Experience interacting with regulatory agencies and/or working within a corporate audit environment is a plus.

In-depth understanding of front-office controls from a second-line monitoring perspective.

Demonstrated experience in project management and responding to ad-hoc data analysis requests.

Highly effective team player with strong interpersonal skills, and analytical abilities, and meticulous attention to detail.

Ability to manage multiple priorities in a fast-paced environment.

Exceptional organizational skills with a proven track record of meeting deadlines.

Self-motivated and proactive, with the ability to engage and negotiate effectively with internal stakeholders, including senior management.

Strong aptitude for interpreting and applying complex regulatory requirements.

Committed to continuous learning and professional development.

Proficiency in Aladdin or another order management system required.

Requisite Skills

Additional Skills

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.

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