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- Tasks: Facilitate compliance tasks and conduct thematic reviews to ensure regulatory adherence.
- Company: Join Barings, a leading global financial services firm with a strong commitment to integrity.
- Benefits: Competitive salary, diverse workplace, and opportunities for professional growth.
- Why this job: Make a real impact in compliance while working with a dynamic team.
- Qualifications: 5-7 years in asset management compliance and excellent communication skills required.
- Other info: Inclusive environment welcoming diverse applicants; great career advancement potential.
The predicted salary is between 36000 - 60000 £ per year.
Overview
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: Senior Associate, Core Compliance
Business Unit: Compliance
Location: London, UK
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
Working with the Head of Core Compliance and other team members, this position is responsible for facilitating the tasks of the Core Compliance team. This includes the administration of Barings’ Financial Crime Prevention Programme as well as administration of the Code of Ethics and various other conflicts of interest policies such as the firm’s outside business activities, gifts and entertainment as well as handling other regulatory oversight and initiatives as part of the thematic review and assessment programme. The incumbent regularly reviews processes and suggests improvements.
Primary Responsibilities
- Support the operation of the Financial Crime Prevention Programme
- Conduct Customer Due Diligence (CDD) activities, including Know Your Customer (KYC) and Know Your Asset (KYA) due diligence reviews
- Conduct electronic screening of customers and counterparties for sanctions and negative media
- Support financial crime oversight and reviews of third-party administrators
- Support financial crime risk assessment processes
- Support relevant regulatory reporting processes
- Stay abreast of business and regulatory changes to continually consider and suggest improvements to the financial crime prevention programme
Code of Ethics
- Thoroughly understand the Code of Ethics and the automated personal trading system
- Handle complex personal trading issues
- Identify best practices and other potential Code enhancements
- Participate in upgrades to automated personal trading system
- Perform expanded forensic testing of Code
Other Core Compliance Deliverables
- Assessing and overseeing Conflicts of Interest
- Review and approval of gifts and entertainment
- Review and approval of outside business activities
- Support the Global Thematic Review and Assessment Programme Preparation of and input to Client and Board/Governance Reporting
- Books and records requirements
- Maintenance and review of policies and procedures
- Preparation and delivery of training
- Technology initiatives
Qualifications
- Minimum 5-7 years asset management compliance experience required with a strong understanding and familiarity with Codes of Ethics and other conflicts of interest polices.
- Excellent verbal, written and interpersonal skills and the ability to communicate clearly with associates at all levels of the corporation.
- Strong work ethic; results-based, action oriented. Drives for business results; proven ability to deliver.
- Ability to work independently as well as collaboratively to achieve results, prioritize, and manage expectations.
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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Senior Associate, Core Compliance employer: Barings
Contact Detail:
Barings Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Associate, Core Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who might have insights into Barings. A friendly chat can sometimes lead to opportunities that aren’t even advertised.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and Barings’ specific policies. Show us you’re not just a fit on paper but also passionate about the role and the company’s mission.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the position. It keeps you fresh in their minds.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining the Barings team.
We think you need these skills to ace Senior Associate, Core Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Associate, Core Compliance role. Highlight your relevant experience in asset management compliance and showcase your understanding of Codes of Ethics and conflicts of interest policies. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for Barings. Don’t forget to mention specific examples that demonstrate your communication skills and ability to work collaboratively.
Showcase Your Achievements: When detailing your experience, focus on your achievements rather than just listing duties. Use metrics where possible to show how you've made a difference in previous roles. We love seeing results-driven candidates who can drive business outcomes!
Apply Through Our Website: We encourage you to apply directly through our website for the best chance of being noticed. It’s straightforward and ensures your application goes straight to us. Plus, it shows you’re serious about joining the Barings team!
How to prepare for a job interview at Barings
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to asset management. Familiarise yourself with Barings' Code of Ethics and be ready to discuss how you've handled compliance issues in the past.
✨Showcase Your Communication Skills
Since this role requires excellent verbal and written communication, practice articulating your thoughts clearly. Prepare examples of how you've effectively communicated complex compliance matters to different stakeholders.
✨Demonstrate Team Collaboration
Barings values teamwork, so be prepared to share experiences where you've successfully collaborated with others. Highlight your ability to work independently as well, but emphasise how you contribute to a team environment.
✨Stay Updated on Regulatory Changes
Keep yourself informed about the latest trends and changes in compliance regulations. During the interview, mention any recent developments you've followed and how they could impact Barings' compliance programme.
